U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-cv PGG

Transcription

1 US District Court Civil Docket as of March 28, 2016 Retrieved from the court on March 28, 2016 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-cv PGG Ross et al v. Reserve Management Company, Inc. et al Assigned to: Judge Paul G. Gardephe Lead case: 1:09-md PGG Member case: (View Member Case) Related Case: 1:09-md PGG Cause: 15:78m(a) Securities Exchange Act Date Filed: 11/25/2008 Date Terminated: 03/11/2016 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Lead Plaintiff Reserve Yield Plus Fund Investor Group represented by Lee Matthew Gordon Hagens Berman Sobol Shapiro LLP 700 South Flower Street Suite 2940 Los Angeles, CA (213) Fax: (213) Peter E. Borkon Hagens Berman Sobol Shapiro LLP (B'kly) 715 Hearst Avenue Suite 202 Berkeley, CA (510) Fax: (510) Reed R Katherine Hagens Berman Sobol Shapiro LLP (B'kly) 715 Hearst Avenue Suite 202 Berkeley, CA (510) Fax: (510) reed@hbsslaw.com

2 Christopher Lometti Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY (212) Fax: (212) Daniel Brett Rehns Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY (212) Fax: (212) TERMINATED: 12/04/2009 Frank Rocco Schirripa Schoengold & Sporn, P.C. 19 Fulton Street Suite 408 New York, NY Fax: TERMINATED: 02/23/2009 Jay Paul Saltzman Schoengold & Sporn, P.C. 19 Fulton Street Suite 408 New York, NY Fax: Pietro Michele devolpi, Jr. Schoengold & Sporn, P.C. 19 Fulton Street Suite 408 New York, NY (202) Fax: (212)

3 TERMINATED: 11/01/2010 Plaintiff William Ross Individually represented by Bradd L. Milove Miller & Milove 750 B Street Suite 1880 San Diego, CA (619) Fax: (619) Peter E. Borkon Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY (631) Fax: (631) srudman@csgrr.com Brian D. Miller Miller Milove & Kob 750 B Street Suite 1880 San Diego, CA (619) Fax: (619) Catherine J. Kowalewski Robbins Geller Rudman & Dowd LLP (San Diego) 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) Darren J. Robbins

4 Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA Fax: David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY Fax: David C. Walton Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA James Albert Caputo Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: Reed Richard Kathrein Hagens Berman Sobol Shapiro LLP (B'kly) 715 Hearst Avenue Suite 202 Berkeley, CA (510) Fax: (510)

5 Steve W. Berman Hagens Berman Sobol Shapiro LLP (Seattle) th, Avenue Suite 3300 Seattle, WA (206) Fax: (206) Plaintiff William Ross on behalf of all others similarly situated represented by Peter E. Borkon Samuel Howard Rudman Bradd L. Milove Brian D. Miller Catherine J. Kowalewski Darren J. Robbins David Avi Rosenfeld David C. Walton

6 James Albert Caputo Lee Matthew Gordon Hagens Berman Sobol Shapiro LLP (Los Angeles) 700 South Flower Street Suite 2940 Los Angeles, CA (213) Fax: (213) Reed Richard Kathrein Steve W. Berman Plaintiff Dawn Ross Individually represented by Catherine J. Kowalewski Peter E. Borkon Samuel Howard Rudman Bradd L. Milove Brian D. Miller

7 Darren J. Robbins David Avi Rosenfeld David C. Walton James Albert Caputo Lee Matthew Gordon Reed Richard Kathrein Steve W. Berman Plaintiff Dawn Ross on behalf of all others similarly situated represented by Peter E. Borkon Samuel Howard Rudman Bradd L. Milove Brian D. Miller

8 Catherine J. Kowalewski Darren J. Robbins David Avi Rosenfeld David C. Walton James Albert Caputo Reed Richard Kathrein Steve W. Berman Plaintiff David Clouse Plaintiff Thomas Johnston Plaintiff David Krug represented by Pietro Michele devolpi, Jr. Unknown 40 Newport Pkwy. #1109 Jersey City, NJ (212) represented by Pietro Michele devolpi, Jr. represented by Pietro Michele devolpi, Jr.

9 Plaintiff E.H. Levering Plaintiff Mark Chipman Plaintiff Wayne A. Lehman represented by Pietro Michele devolpi, Jr. represented by Pietro Michele devolpi, Jr. represented by Pietro Michele devolpi, Jr. V. Movant James Passilla represented by David Avi Rosenfeld V. Reserve Management Company, Inc. represented by John Dellaportas Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY Fax: Matthew A Taylor Duane Morris LLP (PA) 30 South 17th Street Philadelphia, PA (215) Fax: (215) mataylor@duanemorris.com Tariq Mundiya Willkie Farr & Gallagher LLP (NY) 787 Seventh Avenue

10 New York, NY (212) Fax: (212) TERMINATED: 05/04/2009 Fran Marcia Jacobs Duane Morris, LLP (NYC) 1540 Broadway, 14th Floor New York, NY Fax: Justin Joseph D'Elia Duane Morris, LLP (NYC) 1540 Broadway, 14th Floor New York, NY (212) Fax: (212) Kevin F. Berry Duane Morris LLP (PA) 30 South 17th Street Philadelphia, PA Fax: (215) TERMINATED: 04/25/2014 Marc Jason Shanker Morgan, Lewis & Bockius LLP (New York) 101 Park Avenue New York, NY (212) x7145 Fax: (212) Spensyr Ann Mayfield Wicker, Smith, O'Hara, McCoy & Ford, P.A. 390 North Orange Avenue- Suite 1000

11 Orlando, FL (407) Fax: (407) Reserve Short -Term Investment Trust Reserve Yield Plus Fund The Reserve Bruce R. Bent represented by Tariq Mundiya represented by Tariq Mundiya represented by Tariq Mundiya represented by John Dellaportas Matthew A Taylor Tariq Mundiya TERMINATED: 05/04/2009 Fran Marcia Jacobs Justin Joseph D'Elia Kevin F. Berry

12 TERMINATED: 04/25/2014 Marc Jason Shanker Spensyr Ann Mayfield Bruce R. Bent, II represented by John Dellaportas Matthew A Taylor Tariq Mundiya TERMINATED: 05/04/2009 Fran Marcia Jacobs Justin Joseph D'Elia Kevin F. Berry TERMINATED: 04/25/2014 Marc Jason Shanker Spensyr Ann Mayfield

13 Arthur T. Bent, III represented by John Dellaportas Matthew A Taylor Tariq Mundiya TERMINATED: 05/04/2009 Fran Marcia Jacobs Justin Joseph D'Elia Kevin F. Berry TERMINATED: 04/25/2014 Marc Jason Shanker Spensyr Ann Mayfield Patrick J. Farrell represented by John Dellaportas Matthew A Taylor Tariq Mundiya

14 TERMINATED: 05/04/2009 Fran Marcia Jacobs Justin Joseph D'Elia Kevin F. Berry Marc Jason Shanker Spensyr Ann Mayfield William Viklund represented by Mark Holland Clifford Chance US, LLP (NYC) 31 West 52nd Street New York, NY (212) Fax: (212) George Arnold Schieren Clifford Chance US, LLP (NYC) 31 West 52nd Street New York, NY (212) Fax: (212) Mary Kathryn Dulka Clifford Chance US, LLP (NYC) 31 West 52nd Street New York, NY (212)

15 Fax: (212) Robert G. Houck Clifford Chance US, LLP (NYC) 31 West 52nd Street New York, NY (212) Fax: (212) Joseph D. Donnelly represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck Edwin Ehlert, Jr. represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck

16 William J. Montgoris represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck Frank Stalzer, J. represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck Santa Albicocco represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck

17 Stephen P. Zieniewicz represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck Ronald J. Artinian represented by Mark Holland George Arnold Schieren Mary Kathryn Dulka Robert G. Houck Resrv Partners, Inc. represented by John Dellaportas Matthew A Taylor

18 Tariq Mundiya TERMINATED: 05/04/2009 Fran Marcia Jacobs Justin Joseph D'Elia Kevin F. Berry TERMINATED: 04/25/2014 Marc Jason Shanker Spensyr Ann Mayfield TD Ameritrade Holding Corporation represented by Matthew Dean Stratton Morgan, Lewis & Bockius LLP (New York) 101 Park Avenue New York, NY (212) Fax: (877) TERMINATED: 09/23/2009 Brian A. Herman Morgan, Lewis & Bockius LLP (New York) 101 Park Avenue New York, NY (212) x6909 Fax: (212) TERMINATED: 05/20/2011

19 Christian R Bartholomew Jenner & Block, LLP (DC) 1099 New York Avenue, N.W. Suite 900 Washington, DC Fax: cbartholomew@jenner.com Jack Douglas Wilson Jenner & Block LLP 1099 New York Avenue Nw Washington, DC (202) Fax: (202) jdwilson@jenner.com Jill M. Baisinger Morgan, Lewis & Bockius LLP (Philadelphia) 1701 Market Street Philadelphia, PA (215) Fax: (215) jbaisinger@morganlewis.com TERMINATED: 05/20/2011 Reserve Management Corporation Joseph H. Moglia represented by Fran Marcia Jacobs represented by Christian R Bartholomew Jack Douglas Wilson Fredric J. Tomczyk represented by Christian R Bartholomew

20 Jack Douglas Wilson William J. Gerber represented by Christian R Bartholomew Jack Douglas Wilson J. Joe Ricketts represented by Christian R Bartholomew Jack Douglas Wilson Toronto-Dominion Bank represented by Christian R Bartholomew Jack Douglas Wilson Date Filed # Docket Text 11/25/ COMPLAINT against Reserve Management Company, Inc., Reserve Short -Term Investment Trust, Reserve Yield Plus Fund, The Reserve, Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank Stalzer, J, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian, Resrv Partners, Inc., TD Ameritrade Holding Corporation. (Filing Fee $ , Receipt Number )Document filed by Dawn Ross(Individually), Dawn Ross(on behalf of all others similarly situated), William Ross(Individually), William Ross(on behalf of all others similarly situated).(ama) (ama). (Entered: 12/01/2008) 11/25/2008 SUMMONS ISSUED as to Reserve Management Company, Inc., Reserve Short -Term Investment Trust, Reserve Yield Plus Fund, The Reserve, Bruce R. Bent, Bruce R. Bent,

21 II, Arthur T. Bent, III, Patrick J. Farrell, William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank Stalzer, J, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian, Resrv Partners, Inc., TD Ameritrade Holding Corporation. (ama) (Entered: 12/01/2008) 11/25/2008 Magistrate Judge Henry B. Pitman is so designated. (ama) (Entered: 12/01/2008) 11/25/2008 Case Designated ECF. (ama) (Entered: 12/01/2008) 12/01/2008 ***NOTE TO ATTORNEY TO PDF. Note to Attorney Samuel H. Rudman for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. the PDF for Document 1 Complaint,, to: case_openings@nysd.uscourts.gov. (ama) (Entered: 12/01/2008) 12/08/ ORDER SCHEDULING INITIAL PRETRIAL CONFERENCE: Initial Conference set for 1/16/2009 at 12:30 PM in Courtroom 12C, 500 Pearl Street, New York, NY before Judge P. Kevin Castel. (Signed by Judge P. Kevin Castel on 12/8/08) (tro) (Entered: 12/08/2008) 12/18/ NOTICE OF APPEARANCE by Mark Holland on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank Stalzer, J, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian (Holland, Mark) (Entered: 12/18/2008) 12/18/ NOTICE OF APPEARANCE by Robert Gene Houck on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank Stalzer, J, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian (Houck, Robert) (Entered: 12/18/2008) 12/18/ NOTICE OF APPEARANCE by Mary Kathryn Dulka on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank Stalzer, J, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian (Dulka, Mary) (Entered: 12/18/2008) 12/29/ STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: It is hereby stipulated and agreed by and between the parties that the defendants time to move, answer or otherwise respond to the complaint in this action is extended until after a consolidated amended complaint is filed in this action. (Signed by Judge P. Kevin Castel on 12/29/2008) (jpo) (Entered: 12/29/2008) 12/29/ NOTICE OF APPEARANCE by Matthew Dean Stratton on behalf of TD Ameritrade Holding Corporation (Attachments: # 1 Certificate of Service)(Stratton, Matthew) (Entered: 12/29/2008) 12/29/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by TD Ameritrade Holding Corporation. (Attachments: # 1 Certificate of Service)(Stratton, Matthew) (Entered: 12/29/2008) 01/13/ NOTICE OF APPEARANCE by Brian A. Herman on behalf of TD Ameritrade Holding Corporation (Attachments: # 1 Certificate of Service)(Herman, Brian) (Entered: 01/13/2009) 01/13/ MOTION for Christian R. Bartholomew to Appear Pro Hac Vice. Document filed by TD Ameritrade Holding Corporation.(dle) (Entered: 01/14/2009) 01/14/ ORDER ADMITTING ATTORNEY. Attorney Christian R. Bartholomew for TD Ameritrade Holding Corporation admitted Pro Hac Vice. (Signed

22 by Judge P. Kevin Castel on 1/14/2009) (jmi) (Entered: 01/14/2009) 01/14/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 11 Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jmi) (Entered: 01/14/2009) 01/15/ NOTICE OF CASE REASSIGNMENT to Judge Paul G. Gardephe. Judge P. Kevin Castel is no longer assigned to the case. (laq) (Entered: 01/16/2009) 01/16/ NOTICE OF APPEARANCE by Tariq Mundiya on behalf of Reserve Management Company, Inc., Reserve Short -Term Investment Trust, Reserve Yield Plus Fund, The Reserve, Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc. (Mundiya, Tariq) (Entered: 01/16/2009) 01/16/2009 Minute Entry for proceedings held before Judge P. Kevin Castel: Initial Pretrial Conference held on 1/16/2009. Case has been transferred to Judge Gardephe as related. (mro) (Entered: 01/21/2009) 01/21/ MOTION for Jill M. Baisinger to Appear Pro Hac Vice. Document filed by TD Ameritrade Holding Corporation.(dle) (Entered: 01/23/2009) 01/26/ ORDER ADMITTING ATTORNEY. Attorney Jill M. Baisinger for TD Ameritrade Holding Corporation admitted Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 1/26/2009) (jmi) (Entered: 01/26/2009) 01/26/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 15 Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jmi) (Entered: 01/26/2009) 01/26/ MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s)., MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. Document filed by Reserve Yield Plus Fund Investor Group.(Schirripa, Frank) (Entered: 01/26/2009) 01/26/ MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by Reserve Yield Plus Fund Investor Group. (Schirripa, Frank) (Entered: 01/26/2009) 01/26/ DECLARATION of Reed Kathrein in Support re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by Reserve Yield Plus Fund Investor Group. (Attachments: # 1 Exhibit Ex. A - Published Notice of First Securities Class Action Complaint, # 2 Exhibit Ex. C - Certifications of YieldPlus Investor Group along with detailed listings of transactions, # 3 Exhibit Ex. B - Charts of the Reserve Yield Fund Investor Group's purchases and sales, # 4 Exhibit Ex. D - Joint Declaration in Support of the Reserve Yield Plus Fund Investor Group's Motion for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel, # 5 Exhibit Ex. E - Firm Resume of Proposed Lead Counsel Hagens Berman Sobol Shapiro LLP, # 6 Exhibit Ex. F - Firm Resume for Proposed Liaison Counsel

23 Schoengold Sporn Laitman & Lometti, P.C.)(Schirripa, Frank) (Entered: 01/26/2009) 01/26/ MOTION to Appoint James Passilla to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by James Passilla.(Rosenfeld, David) (Entered: 01/26/2009) 01/26/ MEMORANDUM OF LAW in Support re: 19 MOTION to Appoint James Passilla to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by James Passilla. (Rosenfeld, David) (Entered: 01/26/2009) 01/26/ DECLARATION of David A. Rosenfeld in Support re: 19 MOTION to Appoint James Passilla to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by James Passilla. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 01/26/2009) 01/27/ DECLARATION of Reed Kathrein in Support re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by Reserve Yield Plus Fund Investor Group. (Attachments: # 1 Exhibit Ex A -)(Schirripa, Frank) (Entered: 01/27/2009) 01/30/2009 CASHIERS OFFICE REMARK on 10 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/13/2009, Receipt Number (jd) (Entered: 01/30/2009) 02/11/ NOTICE OF APPEARANCE by Jay Paul Saltzman on behalf of Reserve Yield Plus Fund Investor Group (Saltzman, Jay) (Entered: 02/11/2009) 02/11/ NOTICE OF APPEARANCE by Christopher Lometti on behalf of Reserve Yield Plus Fund Investor Group (Lometti, Christopher) (Entered: 02/11/2009) 02/13/ MEMORANDUM OF LAW in Opposition re: 19 MOTION to Appoint James Passilla to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Reserve Yield Plus Fund Investor Group. (Rehns, Daniel) (Entered: 02/13/2009) 02/13/ MEMORANDUM OF LAW in Opposition re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by James Passilla. (Rosenfeld, David) (Entered: 02/13/2009) 02/13/ DECLARATION of David A. Rosenfeld in Opposition re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by James Passilla. (Attachments: # 1 Exhibit 1)(Rosenfeld, David) (Entered: 02/13/2009) 02/17/ NOTICE OF APPEARANCE by Daniel Brett Rehns on behalf of Reserve Yield Plus Fund Investor Group (Rehns, Daniel) (Entered: 02/17/2009) 02/23/ NOTICE OF WITHDRAWL OF FRANK R. SCHIRRIPA AS ATTORNEY OF RECORD: Please take notice Frank R. Schirripa is no longer an attorney of record in this action, as set forth herein. ENDORSEMENT: SO ORDERED (Signed by Judge Paul G.

24 Gardephe on 2/23/2009) (jpo) (Entered: 02/23/2009) 02/25/2009 CASHIERS OFFICE REMARK on 14 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/21/2009, Receipt Number (jd) (Entered: 02/25/2009) 02/26/ REPLY MEMORANDUM OF LAW in Support re: 19 MOTION to Appoint James Passilla to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by James Passilla. (Rosenfeld, David) (Entered: 02/26/2009) 02/26/ REPLY MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by Reserve Yield Plus Fund Investor Group. (Rehns, Daniel) (Entered: 02/26/2009) 02/26/ DECLARATION of Reed R. Kathrein, Esq. in Support re: 16 MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s).. Document filed by Reserve Yield Plus Fund Investor Group. (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B, # 3 Exhibit Exhibit C, # 4 Exhibit Exhibit D)(Rehns, Daniel) (Entered: 02/26/2009) 02/27/ MOTION for Steve W. Berman to Appear Pro Hac Vice. Document filed by Dawn Ross(Individually), Dawn Ross(on behalf of all others similarly situated), William Ross(Individually), William Ross(on behalf of all others similarly situated).(dle) (Entered: 03/09/2009) 02/27/ MOTION for Reed R. Kathrein to Appear Pro Hac Vice. Document filed by Dawn Ross(Individually), Dawn Ross(on behalf of all others similarly situated), William Ross(Individually), William Ross(on behalf of all others similarly situated).(dle) (Entered: 03/09/2009) 02/27/ MOTION for Peter E. Borkon to Appear Pro Hac Vice. Document filed by Dawn Ross(Individually), Dawn Ross(on behalf of all others similarly situated), William Ross(Individually), William Ross(on behalf of all others similarly situated).(dle) (Entered: 03/09/2009) 03/11/ ORDER granting 35 Motion for Peter E. Borkon to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 3/11/09) (js) (Entered: 03/11/2009) 03/11/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 36 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js) (Entered: 03/11/2009) 03/11/ ORDER granting 33 Motion for Steve W. Berman to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 3/11/09) (js) (Entered: 03/11/2009) 03/11/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 37 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js) (Entered: 03/11/2009) 03/11/ ORDER granting 34 Motion for Reed R. Katherein to Appear Pro Hac Vice. (Signed by

25 Judge Paul G. Gardephe on 3/11/09) (js) (Entered: 03/11/2009) 03/11/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 38 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js) (Entered: 03/11/2009) 03/12/2009 CASHIERS OFFICE REMARK on 34 Motion to Appear Pro Hac Vice, 33 Motion to Appear Pro Hac Vice, 35 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 02/27/2009, Receipt Number (jd) (Entered: 03/12/2009) 03/12/ ORDER that each party to the above-captioned cases shall have until March 20, 2009 to submit its response, if any, to the above-referenced March 4, 2009 letter. Such submissions to this Court shall be by fax, mail, overnight express delivery, or hand delivery, with simultaneous copies by one of these methods or by verifiable electronic means to all counsel of record in the above-captioned cases. ( Responses due by 3/20/2009) (Signed by Judge Paul G. Gardephe on 3/12/2009) (jmi) (Entered: 03/12/2009) 03/23/ ENDORSED LETTER addressed to Judge Paul G. Gardephe from Tariq Mundiya dated 3/23/09 re: I write on behalf of the Reserve-related defendants to request permission to file a single reply letter to the varying submissions responding to our March 4 letter. In light of the Court's order allowing Plaintiff E Trade until March 27, 2009 to respond to the March 4 letter, and the possibility that other letters (in addition to the fifteen already submitted at last count) may be filed by that March 27 deadline, the Reserve-related s respectfully request the Court's permission to file one comprehensive reply letter by April 6, ENDORSEMENT: The Application is granted. This Document relates to 09md2011, , , , , , , , , , , , , , , , , , , , , , , , , , , (Signed by Judge Paul G. Gardephe on 3/23/09) (rjm) (Entered: 03/24/2009) 03/25/2009 CASE ACCEPTED AS RELATED. Create association to 1:09-md PGG. Notice of Assignment to follow. (mbe) (Entered: 03/26/2009) 03/25/2009 CONSOLIDATED MDL CASE: Create association to 1:09-md PGG.. (mbe) (Entered: 03/26/2009) 03/31/ NOTICE OF APPEARANCE by George Arnold Schieren on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank J. Stalzer, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian, Edwin Ehlert, Jr, Frank Stalzer, J, William E. Viklund Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG, 1:08-cv PGG, 1:08-cv PGG(Schieren, George) (Entered: 03/31/2009) 04/02/ NOTICE OF APPEARANCE by Peter E. Borkon on behalf of Reserve Yield Plus Fund Investor Group (Borkon, Peter) (Entered: 04/02/2009) 04/02/ NOTICE OF APPEARANCE by Reed R Katherine on behalf of Reserve Yield Plus Fund Investor Group (Katherine, Reed) (Entered: 04/02/2009) 05/04/ CONSENT TO SUBSTITUTION OF COUNSEL,that the firm of Duane Morris LLP, 1540 Broadway, New York, New York be substituted as attorneys of record for the undersigned s Reserve Management Co., Inc., Resrv Partners, Inc., Bruce R. Bent, Bruce R. Bent II, Arthur T. Bent III, and Patrick J. Farrell in the above

26 captioned action in place of the firm Willkie Farr & Gallagher LLP, 787 Seventh Avenue, New York, New York Willkie Farr and Gallagher LLP will continue to represent s The Reserve Short-Term Investment Trust and The Reserve Yield Plus Fund in the above captioned action. (Signed by Judge Paul G. Gardephe on 5/4/09) (pl) (Entered: 05/05/2009) 05/13/ NOTICE OF APPEARANCE by Justin Joseph D'Elia on behalf of Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc. (Attachments: # 1 Affidavit of Service)(D'Elia, Justin) (Entered: 05/13/2009) 05/15/ MOTION for Kevin F. Berry to Appear Pro Hac Vice. Document filed by Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc..(dle) (Entered: 05/29/2009) 06/01/ NOTICE OF APPEARANCE by Matthew A Taylor on behalf of Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc. (Attachments: # 1 Affidavit of Service)(Taylor, Matthew) (Entered: 06/01/2009) 06/01/ ORDER FOR ADMISSION ON WRITTEN MOTION granting 46 Motion for Kevin F. Berry to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 6/1/2009) (jpo) (Entered: 06/01/2009) 06/12/2009 CASHIERS OFFICE REMARK on 48 Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 5/18/09, Receipt Number (Quintero, Marcos) (Entered: 06/12/2009) 06/18/ NOTICE OF CHANGE OF ADDRESS by Mary Kathryn Dulka on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank J. Stalzer, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian, Edwin Ehlert, Jr, Frank Stalzer, J, William E. Viklund, William Montgoris, Frank Stalzer, Ronald Artinian. New Address: Goodwin Procter LLP, The New York Times Building, 620 Eighth Avenue, New York, New York, , Filed In Associated Cases: 1:09-md PGG et al.(dulka, Mary) (Entered: 06/18/2009) 06/18/ NOTICE OF CHANGE OF ADDRESS by Mark Holland on behalf of William Viklund, Joseph D. Donnelly, Edwin Ehlert, Jr, William J. Montgoris, Frank J. Stalzer, Santa Albicocco, Stephen P. Zieniewicz, Ronald J. Artinian, Edwin Ehlert, Jr, Frank Stalzer, J, William E. Viklund, William Montgoris, Frank Stalzer, Ronald Artinian. New Address: Goodwin Procter LLP, The New York Times Building, 620 Eighth Avenue, New York, New York, , Filed In Associated Cases: 1:09-md PGG et al.(holland, Mark) (Entered: 06/18/2009) 06/19/ NOTICE of Withdrawal of Matthew Dean Stratton as Attorney of Record for TD Ameritrade Holding Corporation. Document filed by TD Ameritrade Holding Corporation. (Bartholomew, Christian) (Entered: 06/19/2009) 07/07/ NOTICE OF CHANGE OF ADDRESS by Christopher Lometti on behalf of Dawn Ross(Individually), William Ross(Individually). New Address: Cohen Milstein Sellers & Toll, PLLC, 150 East 52nd Street, Suite 30th Floor, New York, New York, 10022, (212) (Lometti, Christopher) (Entered: 07/07/2009) 07/07/ NOTICE OF CHANGE OF ADDRESS by Daniel Brett Rehns on behalf of Dawn Ross(Individually), William Ross(Individually). New Address: Cohen Milstein Sellers &

27 Toll, PLLC, 150 East 52nd Street, Suite 30th Floor, New York, New York, 10022, (212) (Rehns, Daniel) (Entered: 07/07/2009) 07/07/ NOTICE OF APPEARANCE by Daniel Brett Rehns on behalf of Reserve Yield Plus Fund Investor Group Filed In Associated Cases: 1:09-md PGG et al.(rehns, Daniel) (Entered: 07/07/2009) 07/15/ ORDER. It is hereby ORDERED that this Court will hear oral argument concerning these motions for appointment of lead plaintiff and appointment of lead and liaison counsel on Wednesday, August 5, 2009, at 3:00 p.m., in Courtroom 18B of the United States Courthouse, 500 Pearl Street, New York, New York. Set Deadlines/Hearing as to (16 in 1:08-cv PGG) MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s). MOTION to Appoint Counsel Hagens Berman Sobol Shapiro LLP as lead counsel and Schoengold Sporn Laitman & Lometti, P.C. as liaison counsel. MOTION to Appoint The Reserve Yield Plus Fund Investor Group to serve as lead plaintiff(s)., (19 in 1:08-cv PGG) MOTION to Appoint James Passilla to serve as lead plaintiff(s). MOTION to Appoint Counsel.(Motion Hearing set for 8/5/2009 at 03:00 PM in Courtroom 18B, 500 Pearl Street, New York, NY before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 7/15/09) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(rjm) (Entered: 07/15/2009) 08/05/ ORDER that, by Monday, August 10,2009, counsel for proposed lead plaintiff James Passilla may submit interrogatories to the Investor Group - with two courtesy copies contemporaneously provided to this Court - seeking information concerning whether the Investor Group was formed in bad faith, was lawyer-instigated, or is likely to be lawyerdominated. Interrogatories should address inter alia (I) whether there was a pre-litigation relationship between Investor Group members; (2) the circumstances of how and when each member of the Investor Group first came to interact with Reed R. Kathrein and/or Hagens Berman Sobol Shapiro LLP concerning the subject matter of this case; (3) whether the November 20, 2008 Yahoo posting by Mr. Kathrein played any role in the development of an attorney-client relationship between Mr. Kathrein and/or Hagens Berman Sobol Shapiro LLP and any member of the Investor Group; and (4) the involvement of each Investor Group member in interviewing and/or negotiating with law firm personnel concerning their possible service as potential lead counsel in this action, including the names of the applicable law firms. Answers to interrogatories should be submitted under oath. It is further ORDERED that the responses to these interrogatories will be served on counsel for James Passilla by Wednesday, August 19, 2009, and that two courtesy copies of these responses will be contemporaneously provided to this Court. It is further ORDERED that, by Friday, August 28, 2009, any supplemental letter submissions will be submitted to this Court by facsimile in accordance with this Court's Individual Practices. SO ORDERED (Signed by Judge Paul G. Gardephe on 8/5/2009) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(jmi) (Entered: 08/06/2009) 09/23/ MEMO ENDORSEMENT on MOTION TO WITHDRAW MATTHEW DEAN STRATTON AS AN ATTORNEY OF RECORD FOR DEFENDANT TD AMERITRADE HOLDING CORPORATION. ENDORSEMENT: So Ordered (Signed by Judge Paul G. Gardephe on 9/23/2009) (jpo) (Entered: 09/23/2009) 09/28/ ORDER. For the foregoing reasons, the Reserve Yield Plus Fund Investor Group's motion for appointment as lead plaintiff is GRANTED, and the Investor Group's motion

28 for appointment of Hagens Berman Sobol Shapiro LLP as lead counsel is GRANTED. The motion of James Passilla to serve as lead plaintiff is DENIED, and his motion for appointment of Coughlin Stoia Geller Rudman & Robbins LLP as lead counsel is likewise DENIED. The Clerk of the Court is directed to terminate the motions (Docket Nos. 16, 19). (Signed by Judge Paul G. Gardephe on 9/28/09) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(rjm) (Entered: 09/29/2009) 10/01/ NOTICE OF CHANGE OF ADDRESS by Jay Paul Saltzman on behalf of Reserve Yield Plus Fund Investor Group. New Address: Schoengold & Sporn, P.C., 19 Fulton St., Suite 406, New York, NY, 10038, (Saltzman, Jay) (Entered: 10/01/2009) 10/21/ NOTICE OF APPEARANCE by Pietro Michele devolpi, Jr on behalf of Reserve Yield Plus Fund Investor Group (devolpi, Pietro) (Entered: 10/21/2009) 11/20/ NOTICE OF APPEARANCE by Spensyr Ann Krebsbach on behalf of Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc. (Krebsbach, Spensyr) (Entered: 11/20/2009) 11/20/ NOTICE OF APPEARANCE by Fran Marcia Jacobs on behalf of Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Patrick J. Farrell, Resrv Partners, Inc. (Jacobs, Fran) (Entered: 11/20/2009) 11/20/ RESERVE YIELD PLUS FUND INVESTOR GROUP'S FIRST AMENDED CLASS ACTION COMPLAINT amending 1 Complaint,, against Reserve Management Corporation, Joseph H. Moglia, Fredric J. Tomczyk, William J. Gerber, J. Joe Ricketts, Toronto-Dominion Bank, Reserve Management Company, Inc., Bruce R. Bent, II, Arthur T. Bent, III, Resrv Partners, Inc., TD Ameritrade Holding Corporation.Document filed by David Clouse, Thomas Johnston, David Krug, E.H. Levering, Mark Chipman, Wayne A. Lehman, Reserve Yield Plus Fund Investor Group. Related document: 1 Complaint,, filed by Dawn Ross, William Ross.(dle) (Entered: 12/03/2009) 12/03/ CERTIFICATE OF SERVICE of re: 63 RESERVE YIELD PLUS FUND INVESTOR GROUP'S FIRST AMENDED CLASS ACTION COMPLAINT served on RESERVE MANAGEMENT COMPANY, INC., RESERVE MANAGEMENT CORPORATION, BRUCE R. BENT, BRUCE R. BENT II, ARTHUR T. BENT III, RESERV PARTNERS, INC., AND TD AMERITRADE HOLDING CORPORATION on 11/20/2009. Service was made by MAIL. Document filed by Reserve Yield Plus Fund Investor Group. (devolpi, Pietro) (Entered: 12/03/2009) 12/04/ NOTICE OF WITHDRAWAL: Please take notice that Daniel B. Rehns hereby withdraws his appearance as attorney of record for Movant Plaintiff the Reserve Yield Plus Fund Investor Group in the above captioned action and requests that no further notices be given to the required of him in the action, and that no documents or other pleadings in the action be served upon him due to the fact that Daniel Rehms is no longer affiliated with the firm Schoengold & Sporn P.C. The Lead Plaintiffs herein are represented by the Hagens Berman and Schoengold & Sporn firms, so there will be no prejudice resulting from this withdrawal. So Ordered (Signed by Judge Paul G. Gardephe on 12/4/09) (js) (Entered: 12/04/2009) 12/07/ NOTICE of Withdrawal as Attorney of Record for Movant-Plaintiff, Reserve Yield Plus Fund Investor Group. Document filed by Reserve Yield Plus Fund Investor Group. (Lometti, Christopher) (Entered: 12/07/2009)

29 12/11/ ENDORSED LETTER addressed to Judge Paul G. Gardephe from Christian R. Batholomew dated 12/10/09 re: First, we write to request that the Court approve a modification to the proposed schedule the parties previously submitted governing the briefing of the motions to dismiss in this matter... the TDA s request an extension of the page limits for their motion to dismiss. In particular, they request 35 pages for their motion to dismiss (to be filed jointly on behalf of the TDA s) and 15 pages for their reply brief. Counsel for the Reserve s request the same page limits for their motion to dismiss (to be filed jointly on behalf of the Reserve s) and as further requested. ENDORSEMENT: Memo Endorsed. The Application is granted. So Ordered., (Motions to Dismiss due by 1/19/2010., Replies due by 3/26/2010., Responses due by 3/1/2010) (Signed by Judge Paul G. Gardephe on 12/11/09) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(rjm) (Entered: 12/14/2009) 12/11/ NOTICE OF WITHDRAWAL: Daniel B. Rehns hereby withdraws his appearance as attorney of record for Movant-Plaintiff, the Reserve Yield Plus Fund Investor Group on the above-captioned action and requests no further notices be given to or required of him in this action, and that no documents or other pleadings in this action be served upon him due to the fact that Daniel Rehns is no longer affiliated with the firm Schoengold & Sporn P.C. The Lead Plaintiffs herein are represented by the Hagens Berman and Schoengold & Sporn firms, so three will be no prejudice resulting from this withdrawal. SO ORDERED. (Signed by Judge Paul G. Gardephe on 12/11/2009) (tve) Modified on 12/17/2009 (tve). (Entered: 12/14/2009) 12/28/ STIPULATION REGARDING WAIVER OF SERVICE ON RESERVE MANAGEMENT CORPORATION; Duane Morris LLP, on behalf of the, hereby waives any objections to the absence of a summons or of service of a summons and complaint on the in this action. By waiving service of summons in this action, the is not waiving any of its other potential defenses, including, but not limited to, lack of personal jurisdiction, improper venue, statute of limitations, and any defenses on the merits. SO ORDERED. (Signed by Judge Paul G. Gardephe on 12/28/2009) (tve) (Entered: 12/28/2009) 01/08/ MOTION for Lee M. Gordon to Appear Pro Hac Vice. Document filed by Reserve Yield Plus Fund Investor Group.(mbe) (Entered: 01/11/2010) 01/11/2010 CASHIERS OFFICE REMARK on 70 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/08/2010, Receipt Number (jd) (Entered: 01/11/2010) 01/11/ ORDER GRANTING THE MOTION TO ADMIT LEE M. GORDON ON WRITTEN MOTION granting 70 Motion for Lee M. Gordon to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 1/11/2010) (jpo) (Entered: 01/11/2010) 01/11/2010 Transmission to Attorney Admissions Clerk. Transmitted re: 71 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jpo) (Entered: 01/11/2010) 01/29/ NOTICE OF CHANGE OF ADDRESS by Lee Matthew Gordon on behalf of all plaintiffs. New Address: Hagens Berman Sobol Shapiro: SEATTLE, th Avenue, Suite 3300, Seattle, WA, USA 98101, (206) (Gordon, Lee) (Entered: 01/29/2010) 03/26/ MOTION to Dismiss the First Amended Class Action Complaint. Document filed by Joseph H. Moglia, Fredric J. Tomczyk, William J. Gerber, J. Joe Ricketts, Toronto-

30 Dominion Bank, TD Ameritrade Holding Corporation.(Bartholomew, Christian) (Entered: 03/26/2010) 03/26/ MEMORANDUM OF LAW in Support re: 73 MOTION to Dismiss the First Amended Class Action Complaint.. Document filed by Joseph H. Moglia, Fredric J. Tomczyk, William J. Gerber, J. Joe Ricketts, Toronto-Dominion Bank, TD Ameritrade Holding Corporation. (Bartholomew, Christian) (Entered: 03/26/2010) 03/26/ DECLARATION of Christian R. Bartholomew in Support re: 73 MOTION to Dismiss the First Amended Class Action Complaint.. Document filed by Joseph H. Moglia, Fredric J. Tomczyk, William J. Gerber, J. Joe Ricketts, Toronto-Dominion Bank, TD Ameritrade Holding Corporation. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit)(Bartholomew, Christian) (Entered: 03/26/2010) 03/26/ MOTION to Dismiss. Document filed by Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Reserve Management Corporation, Resrv Partners, Inc..(Jacobs, Fran) (Entered: 03/26/2010) 03/26/ DECLARATION of Fran M. Jacobs in Support re: 76 MOTION to Dismiss.. Document filed by Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Reserve Management Corporation, Resrv Partners, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Errata C, # 4 Errata D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H)(Jacobs, Fran) (Entered: 03/26/2010) 03/26/ MEMORANDUM OF LAW in Support re: 76 MOTION to Dismiss. the First Amended Class Action Complaint. Document filed by Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Reserve Management Corporation, Resrv Partners, Inc.. (Jacobs, Fran) (Entered: 03/26/2010) 03/26/ MEMORANDUM OF LAW in Opposition re: 73 MOTION to Dismiss the First Amended Class Action Complaint.. Document filed by Reserve Yield Plus Fund Investor Group. (Gordon, Lee) (Entered: 03/26/2010) 03/26/ MEMORANDUM OF LAW in Opposition re: 76 MOTION to Dismiss.. Document filed by Reserve Yield Plus Fund Investor Group. (Gordon, Lee) (Entered: 03/26/2010) 03/26/ REPLY MEMORANDUM OF LAW in Support re: 73 MOTION to Dismiss the First Amended Class Action Complaint.. Document filed by Joseph H. Moglia, Fredric J. Tomczyk, William J. Gerber, J. Joe Ricketts, Toronto-Dominion Bank, TD Ameritrade Holding Corporation. (Bartholomew, Christian) (Entered: 03/26/2010) 03/26/ REPLY MEMORANDUM OF LAW in Support re: 76 MOTION to Dismiss. the First Amended Complaint. Document filed by Reserve Management Company, Inc., Bruce R. Bent, Bruce R. Bent, II, Arthur T. Bent, III, Reserve Management Corporation, Resrv Partners, Inc.. (Jacobs, Fran) (Entered: 03/26/2010) 07/27/ ENDORSED LETTER addressed to Judge Paul G. Gardephe from Lee M. Gordon dated 7/23/10 re: We represent Lead Plaintiffs Reserve Yield Plus Fund Investor Group (the "Reserve Yield Plus Plaintiffs") in the above-referenced action (the "Reserve Yield Plus Action"). We respectfully request that discovery in the Reserve Yield Plus Action be coordinated with discovery in the Commission Action (SEC v. RMCL et al., No. 09 Civ (FOO)). ENDORSEMENT: The Application is granted. So ordered. (Signed by Judge Paul G. Gardephe on 7/26/10) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(rjm) (Entered: 07/27/2010)

31 07/29/ ORDER. The Reserve s and the TDA s request that this Court reconsider its decision to grant the Reserve Yield Plus Fund Investor Group's request on the grounds that this action is governed by the Private Securities Litigation Reform Act of 1995 ("PSLRA"). The PSLRA imposes a mandatory stay of discovery while, as here, a motion to dismiss is pending. See 15 U.S.C. 78u-4(b)(3)(B). The Reserve Yield Plus Fund Investor Group is directed to submit a response to the submissions of the Reserve s and the TDA s by August 6, (Responses due by 8/6/2010) (Signed by Judge Paul G. Gardephe on 7/29/10) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(rjm) (Entered: 07/30/2010) 08/26/ ORDER. For the reasons set forth below, the Reserve s' and the TDA s' requests for reconsideration are GRANTED, and this Court's July 27, 2010 order permitting the Investor Group to participate in discovery in SEC v. RMCI is VACATED. The Investor Group has not demonstrated that it would suffer "improper or unfair treatment" if denied the opportunity to participate in discovery in SEC v. RMCI. See In re Bank of America Sec. Litig., 2009 WL , at *2. Accordingly, this Court's previous order permitting this discovery is VACATED, and the mandatory stay of discovery provided for in 15 U.S.C. section 78u-4(b)(3)(B) will remain in place pending this Court's decision on the motions to dismiss filed by the Reserve s and the TDA s. (Signed by Judge Paul G. Gardephe on 8/25/10); (djc) (Entered: 08/26/2010) 10/21/ NOTICE of Withdrawal of Counsel. Document filed by Arthur T. Bent, III, Bruce R. Bent, Bruce R. Bent, II, Patrick J. Farrell, Reserve Management Company, Inc., Reserve Management Corporation, Resrv Partners, Inc.. Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG, 1:09-cv PGG, 1:09-cv PGG(Krebsbach, Spensyr) (Entered: 10/21/2010) 11/01/ ENDORSED LETTER addressed to Judge Paul G. Gardephe from Pietro de Volpi, Jr. dated 10/30/2010, re: Counsel for Lead Plaintiffs, the Reserve Yield Plus Fund Investor Group request to withdraw as an attorney of record, and henceforth to neither receive nor be required to receive notice in the action. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul G. Gardephe on 11/1/2010) (lnl) (Entered: 11/02/2010) 02/17/ ENDORSED LETTER addressed to Judge Paul G. Gardephe from Christian R. Bartholomew dated 2/15/2011 re: Counsel request that the TDA defendants be permitted to submit by 2/25/2011, a response to lead plaintiffs' 2/14/2011 correspondence to the Court seeking certain discovery. ENDORSEMENT: The application is granted. So Ordered. (Signed by Judge Paul G. Gardephe on 2/16/2011) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(jfe) (Entered: 02/17/2011) 03/08/ NOTICE OF WITHDRAWAL: I, Aaron M. Sheanin, a partner with the law firm of Girard Gibbs LLP, attorney for Plaintiffs George C. Dyer. Basil K. Vasiliou, and Kevin M. Young on behalf of Young Wealth Management in the above-entitled action, hereby withdraw as an attorney of record, as I am leaving Girard Gibbs LLP. Daniel C. Girard, Jonathan K. Levine, and Christina H. C. Sharp of Girard Gibbs LLP will continue to serve as counsel of record to Plaintiffs in the above-referenced matter. I hereby request that my name and address be removed from the case's official docket. (Signed by Judge Paul G. Gardephe on 3/7/2011) Filed In Associated Cases: 1:09-md PGG et al.(jpo) (Entered: 03/08/2011) 05/09/ NOTICE OF CHANGE OF ADDRESS by Christian R. Bartholomew on behalf of William J. Gerber, Joseph H. Moglia, J. Joe Ricketts, TD Ameritrade Holding

32 Corporation, Fredric J. Tomczyk, Toronto-Dominion Bank. New Address: Weil, Gotshal & Manges LLP, 1300 Eye Street NW, Ste 900, Washington, DC, United States 20005, (202) (Bartholomew, Christian) (Entered: 05/09/2011) 05/20/ MEMO ENDORSEMENT on re: Notice of Withdrawal of Jill Baisinger and Brian A. Herman as Attorneys of record for the TDA s. ENDORSEMENT: So Ordered. (Signed by Judge Paul G. Gardephe on 5/19/2011) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(jfe) (Entered: 05/20/2011) 07/30/ TRANSCRIPT of Proceedings re: CONFERNCE held on 5/22/2012 before Judge Paul G. Gardephe. Court Reporter/Transcriber: Khristine Sellin, (212) Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/23/2012. Redacted Transcript Deadline set for 9/4/2012. Release of Transcript Restriction set for 11/1/2012.Filed In Associated Cases: 1:09-md PGG et al.(mcguirk, Kelly) (Entered: 07/30/2012) 07/30/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/22/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...filed In Associated Cases: 1:09-md PGG et al.(mcguirk, Kelly) (Entered: 07/30/2012) 09/17/ NOTICE OF APPEARANCE by John Dellaportas on behalf of Arthur T. Bent, III, Bruce R. Bent, II, Bruce R. Bent, Patrick J. Farrell, Reserve Management Company, Inc., Resrv Partners, Inc.. (Dellaportas, John) (Entered: 09/17/2013) 09/17/ NOTICE OF APPEARANCE by Marc Jason Shanker on behalf of Arthur T. Bent, III, Bruce R. Bent, II, Bruce R. Bent, Patrick J. Farrell, Reserve Management Company, Inc., Resrv Partners, Inc.. (Shanker, Marc) (Entered: 09/17/2013) 02/03/ ORDER: Conference set for 2/6/2014 at 10:30 AM in Courtroom 705, 40 Centre Street, New York, NY before Judge Paul G. Gardephe. (Signed by Judge Paul G. Gardephe on 2/3/2014) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(cd) (Entered: 02/04/2014) 02/04/ LETTER addressed to Judge Paul G. Gardephe from Christian R. Bartholomew dated February 4th 2014 re: Request to Change 2/6/2014 Conference. Document filed by William J. Gerber, Joseph H. Moglia, J. Joe Ricketts, TD Ameritrade Holding Corporation, Fredric J. Tomczyk, Toronto-Dominion Bank. (Attachments: # 1 Attachment)(Bartholomew, Christian) (Entered: 02/04/2014) 02/04/ MEMO ENDORSEMENT on re: (97 in 1:08-cv PGG) Letter, filed by TD Ameritrade Holding Corporation, Toronto-Dominion Bank, William J. Gerber, J. Joe Ricketts, Fredric J. Tomczyk, Joseph H. Moglia. ENDORSEMENT: The Application is granted. (Status Conference set for 2/10/2014 at 10:00 AM before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 2/4/2014) Filed In Associated Cases: 1:09-md PGG, 1:08-cv PGG(tn) (Entered: 02/04/2014) 02/10/2014 Minute Entry for proceedings held before Judge Paul G. Gardephe: Status Conference held on 2/10/2014. (Court Reporter Pamela Utter) (mr) (Entered: 02/10/2014)