United States District Court District of Puerto Rico (San Juan) CIVIL DOCKET FOR CASE #: 3:12-cv CCC

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1 US District Court Civil Docket as of August 25, 2017 Retrieved from the court on August 25, 2017 United States District Court District of Puerto Rico (San Juan) CIVIL DOCKET FOR CASE #: 3:12-cv CCC Roman et al v. UBS Financial Services, Inc. of Puerto Rico et al Assigned to: Judge Carmen C. Cerezo Demand: $9,999,000 rel Case: 3:14-cv CCC Cause: 15:78m(a) Securities Exchange Act Date Filed: 08/13/2012 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Carmelo Roman individually and on behalf of all others similarly situated represented by Amanda F. Lawrence Scott & Scott LLP 156 South Main St. PO Box 192 Colchester, CT Fax: David R. Scott Scott & Scott LLP 156 South Main St. PO Box 192 Colchester, CT Fax: Eric M. Quetglas-Jordan Quetglas Law Office PSC 1353 Luis Vigoreaux Ave. PMB 669 Guaynabo, PR

2 Hector E. Pedrosa-Luna The Law Offices of Hector E. Pedrosa- Luna P.O. Box San Juan, PR Fax: Jennie M. Espada-Ocasio Espada Esquire Legal Services Psc PO BOX San Juan, PR Fax: Joseph P. Guglielmo Scott & Scott, LLP 500 Fifth Ave., 40th Floor New York, NY Fax: Juan R. Requena-Davila PO Box 9825 Plaza Carolina Sta. Carolina, PR / Fax: requenalaw@yahoo.com Andrea Farah Scott Scott, Attorneys at Law, LLP 156 South Main Street Colchester, CT Fax:

3 Beth A. Kaswan Scott Scott, Attorneys at Law, LLP The Helmsley Building 230 Park Avenue, 17th Floor New York, NY Fax: PHV Richard P Rouco Quinn, Connor, Weaver, Davies & Rouco 2700 Highway 280 East Suite 380 Birmingham, AL Fax: rrouco@qcwdr.com Luis E. Minana Luis E. Minana & Associates 122 Domenech Avenue 2nd Floor Urb. Baldrich San Juan, PR Fax: minanalaw@yahoo.com Plaintiff Ricardo Roman-Rivera individually and on behalf of all others similarly situated represented by Amanda F. Lawrence David R. Scott Eric M. Quetglas-Jordan

4 Hector E. Pedrosa-Luna Jennie M. Espada-Ocasio Joseph P. Guglielmo Juan R. Requena-Davila Andrea Farah Beth A. Kaswan PHV Richard P Rouco Luis E. Minana Plaintiff SDM Holdings, Inc. represented by Amanda F. Lawrence Eric M. Quetglas-Jordan

5 Hector E. Pedrosa-Luna Jennie M. Espada-Ocasio Juan R. Requena-Davila Andrea Farah Beth A. Kaswan PHV Richard P Rouco Luis E. Minana Plaintiff Onnasis Corporation TERMINATED: 11/26/2014 represented by Deborah Clark-Weintraub Scott & Scott, Attorneys at Law, LLP The Chrysler Bldg. 405 Lexington Ave. 40th Floor New York, NY Fax: dweintraub@scott-scott.com

6 Eric M. Quetglas-Jordan Jennie M. Espada-Ocasio Juan R. Requena-Davila PHV Richard P Rouco Plaintiff Julio Tormes-Rodriquez TERMINATED: 11/26/2014 represented by Deborah Clark-Weintraub Eric M. Quetglas-Jordan Jennie M. Espada-Ocasio Juan R. Requena-Davila PHV Richard P Rouco V.

7 Consol Plaintiff Onnasis Corporation consolidated plaintiff from Civil No (CC) TERMINATED: 11/26/2014 represented by Deborah Clark-Weintraub Eric M. Quetglas-Jordan PHV Richard P Rouco Consol Plaintiff Julio Tormes-Rodriguez consolidated plaintiff from Civil No (CC) TERMINATED: 11/26/2014 represented by Deborah Clark-Weintraub Eric M. Quetglas-Jordan PHV Richard P Rouco V. Defendant UBS Financial Services, Inc. of Puerto Rico TERMINATED: 08/21/2017 represented by Mauricio O. Muniz-Luciano O'Neill & Borges American International Plaza 250 Munoz Rivera Ave. Suite 800 San Juan, PR Fax: mauricio.muniz@oneillborges.com Paul J. Lockwood

8 Skadden, Arps, Slate, Meagher & Flom LLP 920 N. King Street Wilmington, DE Fax: Ubaldo M. Fernandez-Barrera O'Neill & Borges American International Plaza 250 Munoz Rivera Ave. Suite 800 San Juan, PR Fax: Salvador J. Antonetti-Stutts O'Neill & Borges American International Plaza, Suite Munoz Rivera Avenue San Juan, PR Fax: Defendant UBS Trust Company of Puerto Rico represented by Mauricio O. Muniz-Luciano Nicole A. DiSalvo Skadden, ARPS, Slate, Meagher & Flom LLP 920 N. King Street Wilminton, DE Fax:

9 Paul J. Lockwood Ubaldo M. Fernandez-Barrera Salvador J. Antonetti-Stutts Defendant Puerto Rico Investors Tax-Free Fund IV, Inc. TERMINATED: 08/28/2013 represented by Maria Dolores Trelles-Hernandez Pietrantoni Mendez & Alvarez Banco Popular Center 209 Munoz Rivera Ave. Suite 1901 San Juan, PR Fax: TERMINATED: 08/28/2013 Nestor Mendez-Gomez Pietrantoni Mendez & Alvarez Banco Popular Center 209 Munoz Rivera Ave. Suite 1901 San Juan, PR Fax: TERMINATED: 08/02/2013 Alejandro Febres-Jorge Villa Prades 822 Simon Madera Ave. San Juan, PR

10 Fax: TERMINATED: 05/13/2013 Defendant Puerto Rico Fixed Income Fund III, Inc. represented by Eduardo A. Zayas-Marxuach McConnell Valdes, LLC P.O. Box San Juan, PR Fax: Roberto C. Quinones-Rivera McConnell Valdes, LLC P.O. Box San Juan, PR Fax: Defendant Puerto Rico Fixed Income V, Inc. represented by Eduardo A. Zayas-Marxuach Roberto C. Quinones-Rivera Defendant Puerto Rico Investors Bond Fund I, Inc. TERMINATED: 08/28/2013 represented by Alejandro Febres-Jorge TERMINATED: 05/13/2013 Maria Dolores Trelles-Hernandez TERMINATED: 08/28/2013

11 Nestor Mendez-Gomez TERMINATED: 08/02/2013 Defendant Miguel A. Ferrer TERMINATED: 08/21/2017 represented by Mauricio O. Muniz-Luciano TERMINATED: 01/30/2015 Paul J. Lockwood Stephanie A. Weathers-Lowin Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY Fax: Ubaldo M. Fernandez-Barrera TERMINATED: 01/30/2015 Enrique G. Figueroa-Llinas Bobonis, Bobonis & Rodriguez Poventud 129 De Diego Ave. San Juan, PR Fax: Francis C. Healy Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY

12 Fax: Guillermo J. Bobonis Bobonis, Bobonis & Rodriguez Poventud 129 De Diego Ave. San Juan, PR Fax: Melvin A. Brosterman Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY Fax: Salvador J. Antonetti-Stutts TERMINATED: 01/30/2015 Defendant Carlos J. Ortiz TERMINATED: 08/21/2017 represented by Mauricio O. Muniz-Luciano Nicole A. DiSalvo Paul J. Lockwood Ubaldo M. Fernandez-Barrera

13 Salvador J. Antonetti-Stutts Defendant Puerto Rico AAA Portfolio Bond Fund, Inc. TERMINATED: 08/21/2017 Defendant Puerto Rico AAA Portfolio Bond Fund II, Inc. TERMINATED: 08/21/2017 Defendant UBS Financial Services, Inc. represented by Nicole A. DiSalvo Paul J. Lockwood Ubaldo M. Fernandez-Barrera Salvador J. Antonetti-Stutts Mauricio O. Muniz-Luciano V. Consol Defendant UBS Financial Services of Puerto Rico Inc. consolidated defendant from Civil No. 12- represented by Nicole A. DiSalvo

14 1849 (CC) TERMINATED: 08/21/2017 Paul J. Lockwood Salvador J. Antonetti-Stutts Consol Defendant UBS Trust Company of Puerto Rico consolidated defendant from Civil No (CC) represented by Paul J. Lockwood Salvador J. Antonetti-Stutts Consol Defendant Miguel A. Ferrer consolidated defendant from Civil No (CC) TERMINATED: 08/21/2017 represented by Enrique G. Figueroa-Llinas Guillermo J. Bobonis Paul J. Lockwood Francis C. Healy Melvin A. Brosterman

15 Consol Defendant Carlos J. Ortiz consolidated defendant from Civil No (CC) TERMINATED: 08/21/2017 represented by Paul J. Lockwood Salvador J. Antonetti-Stutts Consol Defendant Puerto Rico Fixed Income Fund, Inc. I consolidated defendant from Civil No (CC) Consol Defendant Puerto Rico Fixed Income Fund, Inc. II consolidated defendant from Civil No (CC) Consol Defendant Puerto Rico Fixed Income Fund, Inc. III consolidated defendant from Civil No (CC) represented by Eduardo A. Zayas-Marxuach Roberto C. Quinones-Rivera Amelia Cristina O'Neill-Vega McConnell Valdes, LLC P.O. Box San Juan, PR Fax: aco@mcvpr.com Consol Defendant Puerto Rico Fixed Income Fund, Inc. IV consolidated defendant from Civil No (CC) Consol Defendant

16 Puerto Rico Fixed Income Fund, Inc. V consolidated defendant from Civil No (CC) represented by Eduardo A. Zayas-Marxuach Roberto C. Quinones-Rivera Amelia Cristina O'Neill-Vega Consol Defendant Puerto Rico Investors Tax-Free Fund, Inc. consolidated defendant from Civil No (CC) Consol Defendant Puerto Rico Investors Tax-Free Fund, Inc. III consolidated defendant from Civil No (CC) Consol Defendant Puerto Rico AAA Portfolio Bond Fund, Inc. consolidated defendant from Civil No (CC) TERMINATED: 08/21/2017 Consol Defendant Puerto Rico AAA Portfolio Bond Fund, Inc., I consolidated defendant from Civil No (CC) Consol Defendant Puerto Rico AAA Portfolio Target Maturity Fund, Inc. consolidated defendant from Civil No (CC) Consol Defendant Tax Free Puerto Rico Target Maturity Fund Inc.

17 consolidated defendant from Civil No (CC) Date Filed # Docket Text 08/13/ COMPLAINT against All Defendants ( Filing fee $350 receipt number ), filed by SDM HOLDINGS, INC, RICARDO ROMAN-RIVERA, ROMAN CARMELO. Service due by 12/14/2012, (Attachments: # 1 Exhibit, # 2 Affidavit Certification, # 3 Affidavit Certification, # 4 Affidavit Certification, # 5 Civil Cover Sheet, # 6 Category Sheet, # 7 Summons, # 8 Summons, # 9 Summons, # 10 Summons, # 11 Summons, # 12 Summons, # 13 Summons, # 14 Summons, # 15 Summons, # 16 Summons)(Minana, Luis) (Main Document 1 replaced on 9/4/2012) (re). (Attachment 9 replaced on 9/4/2012) (re). (Attachment 10 replaced on 9/4/2012) (re). (Attachment 14 replaced on 9/4/2012) (re). (Attachment 11 replaced on 9/4/2012) (re). (Entered: 08/13/2012) 08/14/ NOTICE OF JUDGE ASSIGNMENT Case has been assigned to Judge Francisco A. Besosa (jla) (Entered: 08/14/2012) 08/30/ Motion to allow David Scott to appear pro hac vice (Pro Hac fee $150 receipt number 13195) filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 9/17/2012 (Attachments: # 1 Exhibit Pro Hac Vice Fees)(Minana, Luis) (Entered: 08/30/2012) 08/30/ Motion to allow Joseph Guglielmo to appear pro hac vice (Pro Hac fee $150 receipt number PRX ) filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 9/17/2012 (Attachments: # 1 Exhibit Paid Fees)(Minana, Luis) (Entered: 08/30/2012) 08/30/ Motion to allow Amanda Lawrence to appear pro hac vice (Pro Hac fee $150 receipt number PRX ) filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 9/17/2012 (Attachments: # 1 Exhibit Paid fees)(minana, Luis) (Entered: 08/30/2012) 08/30/ ORDER re 3 Motion to Appear PHV: GRANTED. The Clerk will deposit the admission fee in the Court's non-appropriated funds account. Signed by Judge Francisco A. Besosa on 08/30/2012. (brc) (Entered: 08/30/2012) 08/30/ ORDER re 4 Motion to Appear PHV: GRANTED. The Clerk will deposit the admission fee in the Court's non-appropriated funds account. Signed by Judge Francisco A. Besosa on 08/30/2012. (brc) (Entered: 08/30/2012) 08/30/ ORDER re 5 Motion to Appear PHV: GRANTED. The Clerk will deposit the admission fee in the Court's non-appropriated funds account. Signed by Judge Francisco A. Besosa on 08/30/2012. (brc) (Entered: 08/30/2012) 09/06/ Summons Issued as to Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Investors Tax-Free Fund IV, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. (rc) (Entered: 09/06/2012)

18 09/25/ SUMMONS Returned Executed by All Plaintiffs upon UBS Financial Services, Inc. of Puerto Rico served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon UBS Trust Company of Puerto Rico served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Miguel A. Ferrer served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Carlos J. Ortiz served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Puerto Rico Fixed Income Fund III, Inc. served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Puerto Rico Fixed Income V, Inc. served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Puerto Rico Investors Bond Fund I, Inc. served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 09/25/ SUMMONS Returned Executed by All Plaintiffs upon Puerto Rico Investors Tax- Free Fund IV, Inc. served on 9/17/2012, answer due 10/9/2012. (Minana, Luis) (Entered: 09/25/2012) 10/08/ MOTION Submitting Jointly, for Approval by the Court and Entry of Proposed Order, of Stipulation and Proposed Order extending the date to answer, move or otherwise respond to the Complaint re: 1 Complaint, filed by SDM Holdings, Inc., Ricardo Roman-Rivera filed by Salvador J. Antonetti-Stutts on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Carmelo Roman, Ricardo Roman-Rivera, SDM Holdings, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 10/25/2012 (Attachments: # 1 Exhibit A (Joint Stipulation and Proposed Order))(Related document(s) 1 ) (Antonetti-Stutts, Salvador) Modified on 10/10/2012 to change docket text from uppercase to lowercase. (re). (Entered: 10/08/2012) 10/09/ ORDER re 18 Motion submitting : The Stipulation is GRANTED IN PART AND DENIED IN PART. The Plaintiffs having filed the certifications pursuant to 15 U.S.C. 78u-4, the Court appoints Carmelo Roman, Ricardo Roman-Rivera and SDM Holdings, Inc. as the Lead Plaintiffs. No later than October 22, 2012, the Lead Plaintiffs will either file an amended complaint or advise defendants in writing that they intend to stand on the complaint as currently filed. Defendant will answer the complaint, or move or respond no later than November 21, Plaintiffs will oppose any motion to dismiss no later than December 6, No replies will be filed without leave of Court. No extensions will be allowed. Signed by Judge Francisco A. Besosa on 10/9/2012. (grf) (Entered: 10/09/2012)

19 10/09/ NOTICE of Appearance by Maria Dolores Trelles-Hernandez on behalf of Puerto Rico Investors Tax-Free Fund IV, Inc. (Trelles-Hernandez, Maria) (Entered: 10/09/2012) 10/09/ MOTION for Extension of Time until November 8, 2012 to File Answer or otherwise plead filed by Maria Dolores Trelles-Hernandez on behalf of Puerto Rico Investors Tax-Free Fund IV, Inc. Suggestions in opposition/response due by 10/25/2012 (Trelles-Hernandez, Maria) (Entered: 10/09/2012) 10/09/ NOTICE of Appearance by Nestor Mendez-Gomez on behalf of Puerto Rico Investors Tax-Free Fund IV, Inc. (Mendez-Gomez, Nestor) (Entered: 10/09/2012) 10/09/ NOTICE of Appearance by Alejandro Febres-Jorge on behalf of Puerto Rico Investors Tax-Free Fund IV, Inc. (Febres-Jorge, Alejandro) (Entered: 10/09/2012) 10/10/ ORDER re 21 Motion for Extension of Time to Answer : GRANTED until November 21, See Docket No. 19. Signed by Judge Francisco A. Besosa on 10/10/2012. (grf) (Entered: 10/10/2012) 10/11/ MOTION to Amend/Correct THE COURTS ORDER APPOINTING LEAD PLAINTIFFS AND RELATED SCHEDULING ORDER Re: 19 Order on Motion Submitting,,, filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 10/29/2012 (Attachments: # 1 Text of Proposed Order Order)(Related document(s) 19 ) (Minana, Luis) (Entered: 10/11/2012) 10/12/ NOTICE of Appearance by Ubaldo M. Fernandez-Barrera on behalf of Miguel A. Ferrer, Carlos J. Ortiz, UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico (Fernandez-Barrera, Ubaldo) (Entered: 10/12/2012) 10/12/ NOTICE of Appearance by Hector E. Pedrosa-Luna on behalf of All Plaintiffs (Pedrosa-Luna, Hector) (Entered: 10/12/2012) 10/15/ MOTION Submitting Notice and Memorandum of Law of SDM Holdings for Consolidation, Appointment as Lead Plaintiff, and for Approval of its Selection of Lead and Co-Liaison Counsel filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 11/1/2012 (Attachments: # 1 Supplement Memorandum of Law)(Minana, Luis) Modified on 10/16/2012 to change docket text from uppercase to lowercase. (re). (Entered: 10/15/2012) 10/15/ NOTICE of Appearance by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico (Muniz-Luciano, Mauricio) (Entered: 10/15/2012) 10/15/ MOTION Submitting Declaration of Luis E. Minana in support of Motion of SDM Holdings, Inc. for Consolidation, Appointment as Lead Plaintiff, and for Approval of Lead Approval of Lead Plaintiffs Selection of Lead and Co-Liaison Counsel re: 28 MOTION Submitting Notice and Memorandum of Law of SDM Holdings for Consolidation, Appointment as Lead Plaintiff, and for Approval of its Selection of Lead and Co-Liaison Counsel filed by Carmelo Roman, SDM Holdings, Inc., Ricardo Roman-Rivera filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 11/1/2012 (Attachments: # 1 Exhibit A: Early Notice Published August 14, 2012 via Globe Newswire, # 2 Exhibit B: SDM Holdings Certification and Chart, # 3 Exhibit C: Firm Rsum of Scott+Scott LLP, # 4

20 Exhibit D: Firm Rsum of Espada Miana & Pedrosa Law Offices PSC, # 5 Exhibit E: New York University v. Ariel Fund Limited, No /08, Opinion (The Supreme Court of the State of New York, New York County, Feb. 22, 2010), # 6 Text of Proposed Order)(Related document(s) 28 ) (Minana, Luis) Modified on 10/16/2012 to change docket text from uppercase to lowercase. (re). (Entered: 10/15/2012) 10/15/ NOTICE of Appearance by Eric M. Quetglas-Jordan on behalf of Onnasis Corporation, Julio Tormes-Rodriquez (Quetglas-Jordan, Eric) (Entered: 10/15/2012) 10/15/2012 ***SEE IMAGE ON DOCKET ENTRY NO. 28 *** - MEMORANDUM in Support of SDM Holdings' Motion for Consolidation of case no (FAB) and (CCC), appointment ad lead Plaintiff, and for approval of its selection of lead and co-liaison Counsel filed by All Plaintiffs filed by All Plaintiffs. (re) (Entered: 10/17/2012) 10/16/ ORDER re 28 Motion Submitting: NOTED. Signed by Judge Francisco A. Besosa on 10/16/2012. (brc) (Entered: 10/16/2012) 10/16/ MOTION Submitting Declaration and Firm Resum of Eric Quetglas-Jordan, Queltglas Law Office in Support re: 28 MOTION Submitting Notice and Memorandum of Law of SDM Holdings for Consolidation, Appointment as Lead Plaintiff, and for Approval of its Selection of Lead and Co-Liaison Counsel filed by Carmelo Roman, SDM Holdings, Inc., Ricardo Roman-Rivera filed by Eric M. Quetglas-Jordan on behalf of SDM Holdings, Inc. Suggestions in opposition/response due by 11/1/2012 (Attachments: # 1 Exhibit Firm Resum of Eric Quetglas-Jordan, Queltglas Law Office)(Related document(s) 28 ) (Quetglas- Jordan, Eric) Modified on 10/17/2012 to change docket text from uppercase to lowercase. (re). (Entered: 10/16/2012) 10/16/ ORDER re 30 Motion Submitting: GRANTED, subject to Judge Cerezo's consent. Signed by Judge Francisco A. Besosa on 10/16/2012. (brc) Modified on 10/16/2012 to add docket entry information. (re). (Entered: 10/16/2012) 10/16/ ORDER re 25 Motion to Amend/Correct: MOOT. See Order at Docket No. 34. Signed by Judge Francisco A. Besosa on 10/16/2012. (brc) (Entered: 10/16/2012) 10/16/ ORDER re 33 Motion Submitting: NOTED. Signed by Judge Francisco A. Besosa on 10/16/2012. (brc) (Entered: 10/16/2012) 10/17/ MOTION for Extension of Time until 11/5/2012 to file Consolidated Amended Complaint filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 11/2/2012 (Attachments: # 1 Text of Proposed Order)(Minana, Luis) (Entered: 10/17/2012) 10/18/ ORDER re 37 Motion for Extension of Time to File: GRANTED. Plaintiffs will file a consolidated amended complaint no later than 11/5/2012. Defendants will respond to the consolidated amended complaint no later than 30 days after plaintiffs file the consolidated amended complaint. Plaintiffs will respond to any motion to dismiss no later than 12/20/2012. Signed by Judge Francisco A. Besosa on 10/18/2012. (brc) (Entered: 10/18/2012)

21 10/18/ CERTIFICATE OF SERVICE by All Plaintiffs re 37 MOTION for Extension of Time until 11/5/2012 to file Consolidated Amended Complaint (Minana, Luis) (Entered: 10/18/2012) 10/18/ COPY OF Minutes of Proceedings filed in Civil No before Judge Carmen C. Cerezo consenting to consolidation of this case with Civil No (FAB). (ni) (Entered: 10/22/2012) 10/19/ MEMORANDUM OF THE CLERK: Pursuant to the Orders issued by Judge Francisco A. Besosa and Judge Carmen C. Cerezo, Civil No (CCC) is hereby consolidated with (FAB), which becomes the lead case, and it is transferred to the docket of Judge Francisco A. Besosa. All further pleadings shall bear his initials next to the case number: 12-CV-1849 (FAB). Signed by Clerk on 10/19/12. (li). Modified on 10/22/2012 to correct case number (ni). (Entered: 10/22/2012) 10/22/ ORDER OF RECUSAL. The undersigned recuses himself from further participation in these consolidated cases. 28 U.S.C. section 455(a). The Clerk will assign the consolidated cases to another district judge. Signed by Judge Francisco A. Besosa on 10/22/2012. (brc) (Entered: 10/22/2012) 10/22/ MEMORANDUM OF THE CLERK: Pursuant to the Recusal Order issued by Judge Francisco A. Besosa on 10/22/12, docket entry #42, these consolidated cases have been randomly reassigned within the Case Assignment System to Judge Carmen C. Cerezo. Signed by Clerk on 10/22/12. (li) (Entered: 10/22/2012) 10/24/ Motion to allow Richard Rouco to appear pro hac vice (Pro Hac fee $150 receipt number PRX ) filed by Eric M. Quetglas-Jordan on behalf of All Plaintiffs Suggestions in opposition/response due by 11/13/2012 (Attachments: # 1 Appendix Proposed Order)(Quetglas-Jordan, Eric) (Entered: 10/24/2012) 11/05/ ***STRICKEN AS PER 138 ORDER*** AMENDED COMPLAINT CONSOLIDATED against All Defendants, filed by Ricardo Roman-Rivera, Carmelo Roman, Onnasis Corporation, SDM Holdings, Inc., Julio Tormes- Rodriquez.(Minana, Luis) Modified on 2/4/2015 (nat). (Entered: 11/05/2012) 11/05/ CERTIFICATE OF SERVICE by All Plaintiffs re 45 Amended Complaint Consolidated (Minana, Luis) (Entered: 11/05/2012) 12/05/ NOTICE of Appearance by Roberto C. Quinones-Rivera on behalf of Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc. (Quinones-Rivera, Roberto) (Entered: 12/05/2012) 12/05/ Corporate Disclosure Statement byubs Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. (Muniz-Luciano, Mauricio) (Entered: 12/05/2012) 12/05/ Corporate Disclosure Statement bypuerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc.. (Quinones-Rivera, Roberto) (Entered: 12/05/2012) 12/05/ MOTION to dismiss Plaintiffs' Consolidated Amended Complaint as to All Plaintiffs filed by Mauricio O. Muniz-Luciano on behalf of Puerto Rico Fixed Income Fund III, Inc., UBS Financial Services, Inc., Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust

22 Company of Puerto Rico Suggestions in opposition/response due by 12/21/2012 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Muniz-Luciano, Mauricio) (Entered: 12/05/2012) 12/05/ **CASE PARTICIPANTS** MOTION Submitting Exhibits J through O of Docket No. 50 re: 50 MOTION to dismiss Plaintiffs' Consolidated Amended Complaint as to All Plaintiffs filed by Miguel A. Ferrer, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc. filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 12/21/2012 (Attachments: # 1 Exhibit J, # 2 Exhibit K, # 3 Exhibit L, # 4 Exhibit M, # 5 Exhibit N, # 6 Exhibit O)(Related document(s) 50 ) (Muniz-Luciano, Mauricio) (Entered: 12/05/2012) 12/05/ MOTION Submitting Compendium of Unreported Cases Cited in Defendants' Motion to Dismiss at Docket No. 50 re: 50 MOTION to dismiss Plaintiffs' Consolidated Amended Complaint as to All Plaintiffs filed by Miguel A. Ferrer, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc. filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 12/21/2012 (Attachments: # 1 Exhibit Compendium of Unreported Cases Cited at Docket No. 50)(Related document(s) 50 ) (Muniz- Luciano, Mauricio) (Entered: 12/05/2012) 12/05/ MOTION to dismiss as to Puerto Rico Investors Tax-Free Fund IV, Inc., Puerto Rico Investors Bond Fund I, Inc. filed by Puerto Rico Investors Tax-Free Fund IV, Inc., Puerto Rico Investors Bond Fund I, Inc. Suggestions in opposition/response due by 12/21/2012 (Trelles-Hernandez, Maria) (Entered: 12/05/2012) 12/06/ NOTICE of Appearance by Nestor Mendez-Gomez on behalf of Puerto Rico Investors Bond Fund I, Inc. (Mendez-Gomez, Nestor) (Entered: 12/06/2012) 12/06/ NOTICE of Appearance by Alejandro Febres-Jorge on behalf of Puerto Rico Investors Bond Fund I, Inc. (Febres-Jorge, Alejandro) (Entered: 12/06/2012) 12/06/ Corporate Disclosure Statement bypuerto Rico Investors Bond Fund I, Inc., Puerto Rico Investors Tax-Free Fund IV, Inc.. (Febres-Jorge, Alejandro) (Entered: 12/06/2012) 12/12/ SCHEDULING ORDER/CASE MANAGEMENT ORDER: Jury Trial set for 3/3/ :00 AM in Courtroom 4 before Judge Carmen C. Cerezo. Pretrial/Settlement Conference set for 12/10/ :45 PM in CC's Chambers before Judge Carmen C. Cerezo. Discovery due by 7/31/2013.Signed by Judge Carmen C. Cerezo on 12/12/12.(gsr) (Entered: 12/13/2012)

23 12/17/ Minutes of Proceedings before Judge Carmen C. Cerezo: granted 44 Application for Admission Pro Hac Vice by attorney Richard Rouco; noted 51 Motion Submitting Exhibits J-O to 50 Motion to Dismiss; noted 52 Motion Submitting Compendium of Unreported Cases Cited in 50 Motion to Dismiss. (mld) (Entered: 12/17/2012) 12/18/ Joint MOTION Request for Modification of the Court's December 12, 2012 Case Management Order and Entry of a Schedule Governing Filing of Second Amended Complaint and Defendants' Response re 57 Scheduling Order/Case Management Order, filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Onnasis Corporation, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Investors Tax-Free Fund IV, Inc., Carmelo Roman, Ricardo Roman-Rivera, SDM Holdings, Inc., Julio Tormes-Rodriquez, UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 1/8/2013 (Related document(s) 57 ) (Muniz-Luciano, Mauricio) (Entered: 12/18/2012) 01/17/ ***STRICKEN AS PER 138 ORDER*** SECOND CONSOLIDATED AMENDED COMPLAINT against All Defendants, filed by Ricardo Roman-Rivera, Carmelo Roman, Onnasis Corporation, SDM Holdings, Inc., Julio Tormes- Rodriquez.(Minana, Luis) Modified on 1/22/2013 as to title (ni). Modified on 2/4/2015 (nat). (Entered: 01/17/2013) 01/17/ CERTIFICATE OF SERVICE by All Plaintiffs re 60 Amended Complaint (Minana, Luis) (Entered: 01/17/2013) 01/31/ Motion to allow Deborah Clark-Weintraub to appear pro hac vice (Pro Hac fee $150 receipt number 14919) filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 2/19/2013 (Minana, Luis) (Entered: 01/31/2013) 02/07/ MOTION to Withdraw Attorney as to Alejandro Febres-Jorge filed by Alejandro Febres-Jorge on behalf of Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Investors Tax-Free Fund IV, Inc. Suggestions in opposition/response due by 2/25/2013 (Febres-Jorge, Alejandro) (Entered: 02/07/2013) 02/20/ Joint MOTION Submitting Stipulation and Proposed Revised Scheduling Order and Request to Expand Page Limitation of Opening and Answering Memoranda of Law in Connection with Motions to Dismiss the Second Consolidated Amended Complaint filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Onnasis Corporation, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Investors Tax-Free Fund IV, Inc., Carmelo Roman, Ricardo Roman-Rivera, SDM Holdings, Inc., Julio Tormes-Rodriquez, UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 3/8/2013 (Muniz-Luciano, Mauricio) (Entered: 02/20/2013) 02/25/ MOTION for Issuance of Summons as to UBS Financial Services, Inc. filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 3/14/2013 (Attachments: # 1 Summons)(Minana, Luis) (Entered: 02/25/2013)

24 02/28/ MOTION to dismiss Plaintiffs' Second Consolidated Amended Complaint as to All Plaintiffs filed by Mauricio O. Muniz-Luciano on behalf of Puerto Rico Fixed Income Fund III, Inc., UBS Financial Services, Inc., Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 3/18/2013 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit P)(Muniz-Luciano, Mauricio) (Entered: 02/28/2013) 02/28/ **CASE PARTICIPANTS** MOTION Submitting Exhibits J - O to Docket No. 66 re: 66 MOTION to dismiss Plaintiffs' Second Consolidated Amended Complaint as to All Plaintiffs filed by Miguel A. Ferrer, UBS Financial Services, Inc., Carlos J. Ortiz, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc. of Puerto Rico, Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Fixed Income Fund III, Inc. filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 3/18/2013 (Attachments: # 1 Exhibit J, # 2 Exhibit K, # 3 Exhibit L, # 4 Exhibit M, # 5 Exhibit N, # 6 Exhibit O)(Related document(s) 66 ) (Muniz-Luciano, Mauricio) (Entered: 02/28/2013) 02/28/ MOTION to dismiss as to Puerto Rico Investors Tax-Free Fund IV, Inc., Puerto Rico Investors Bond Fund I, Inc. filed by Maria Dolores Trelles-Hernandez on behalf of Puerto Rico Investors Tax-Free Fund IV, Inc., Puerto Rico Investors Bond Fund I, Inc. Suggestions in opposition/response due by 3/18/2013 (Trelles- Hernandez, Maria) (Entered: 02/28/2013) 02/28/2013 Note: Telephone message was left to Attorney Mauricio Muniz-Luciano informing of the requisite to file a Motion to Restrict in compliance with the Standing Order No. 9 filed in Misc (ADC) re: 67 **CASE PARTICIPANTS** MOTION Submitting Exhibits J - O. Motion to Restrict to be filed within 24 hours. (ni) (Entered: 03/01/2013) 03/02/ MOTION to Restrict Document Exhibits Filed at Docket No. 67 filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 3/18/2013 (Muniz-Luciano, Mauricio) (Entered: 03/02/2013) 03/12/ Motion to allow Paul J. Lockwood to appear pro hac vice (Pro Hac fee $150 receipt number PRX ) filed by Ubaldo M. Fernandez-Barrera on behalf of Miguel A. Ferrer, Carlos J. Ortiz, UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 3/28/2013 (Attachments: # 1 Exhibit A)(Fernandez- Barrera, Ubaldo) (Entered: 03/12/2013) 03/12/ Second MOTION for Issuance of Summons as to UBS Financial Services, Inc. filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 3/28/2013 (Attachments: # 1 Summons)(Minana, Luis) (Entered: 03/12/2013)

25 04/03/ NOTICE of Voluntary Dismissal Partial by Onnasis Corporation, Carmelo Roman, Ricardo Roman-Rivera, SDM Holdings, Inc., Julio Tormes-Rodriquez (Quetglas- Jordan, Eric) Modified on 4/4/2013 to delete name of Manuel San Juan DeMartino (not a named plaintiff in the case) (ni). (Entered: 04/03/2013) 04/03/2013 NOTICE of Docket Text Modification by Deputy Clerk re: 72 Notice of Voluntary Dismissal. ***MODIFIED to delete the name of Manuel San Juan DeMartino from the docket entry and from the case since he was inadvertently added by counsel. *** (ni) (Entered: 04/04/2013) 04/04/ Memorandum in Opposition to Motion TO DISMISS THE CONSOLIDATED AMENDED COMPLAINT filed by All Plaintiffs Re: 50 MOTION to dismiss Plaintiffs' Consolidated Amended Complaint as to All Plaintiffs filed by Miguel A. Ferrer, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc. filed by All Plaintiffs. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Minana, Luis) (Entered: 04/04/2013) 04/04/ CERTIFICATE OF SERVICE by All Plaintiffs re 73 Memorandum in Opposition to Motion,, (Minana, Luis) (Entered: 04/04/2013) 04/18/ REPLY to Response to Motion to Dismiss Plaintiffs' Second Amended Consolidated Complaint filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Re: 66 MOTION to dismiss Plaintiffs' Second Consolidated Amended Complaint as to All Plaintiffs filed by Miguel A. Ferrer, UBS Financial Services, Inc., Carlos J. Ortiz, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc. of Puerto Rico, Puerto Rico Fixed Income V, Inc., Puerto Rico Investors Bond Fund I, Inc., Puerto Rico Fixed Income Fund III, Inc. filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. (Muniz-Luciano, Mauricio) (Entered: 04/18/2013) 04/18/ MOTION for Leave to File Excess Pages Reply Brief at Docket No. 75 filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 5/6/2013 (Muniz-Luciano, Mauricio) (Entered: 04/18/2013) 05/09/ MOTION requesting Order for Oral Argument filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 5/28/2013 (Minana, Luis) (Entered: 05/09/2013) 05/13/ Minutes of Proceedings before Judge Carmen C. Cerezo: granted Applications for Admission Pro Hac Vice by attorneys Deborah Clark Weintraub and Paul J. Lockwood; granted 63 Motion for Leave to Withdraw as Counsel of Record (attorney Alejandro Febres-Jorge terminated); noted 67 Motion Submitting Exhibits J-O to 66 Motion to Dismiss; granted 71 Second Motion for Issuance of Summons;

26 finding as moot 65 Motion for Issuance of Summons; granted 76 Motion for Leave to File 75 Reply in Excess of Page Limitation.. (mld) (Entered: 05/16/2013) 05/21/ Summons Issued as to UBS Financial Services, Inc. (jla) (Entered: 05/21/2013) 07/11/ Minutes of Proceedings before Judge Carmen C. Cerezo: granted retroactively 59 Joint Motion for Modification of 57 CMO and Entry of Schedule Governing Filing of Second Amended Complaint and Defendants' Response; granted retroactively 64 Joint Stipulation and Proposed Revised Scheduling Order and Request to Expand Page Limitation on Opening and Answering Memoranda of Law in Connection with Motions to Dismiss Second Consolidated Amended Complaint. (mld) (Entered: 07/15/2013) 08/27/ ORDER finding as moot 50 Motion to Dismiss 45 Consolidated Amended Complaint; granted 69 Motion to Restrict 67 Document; denied 77 Motion Requesting Oral Argument on Opposition to Motion to Dismiss Consolidated Amended Complaint. Signed by Judge Carmen C. Cerezo on 8/27/2013. (mld) (Entered: 08/28/2013) 08/28/ ORDER AND PARTIAL JUDGMENT noted and granted 72 Notice of Voluntary Dismissal; plaintiffs' claims against defendants P.R. Investors Tax Free Fund IV, Inc. and the P.R. Investors Bond Fund I are DISMISSED. The 53 and 68 Motions to Dismiss filed by these codefendants are now MOOT. Signed by Judge Carmen C. Cerezo on 8/28/2013. (mld) (Entered: 08/28/2013) 09/30/ ORDER denied 66 Motion to Dismiss 60 Second Consolidated Amended Complaint. Signed by Judge Carmen C. Cerezo on 9/30/2013. (mld) (Entered: 10/02/2013) 10/07/ NOTICE OF APPEARANCE filed by Jennie M. Espada-Ocasio on behalf of All Plaintiffs Suggestions in opposition/response due by 10/24/2013 (Espada-Ocasio, Jennie) Modified on 10/8/2013 as to title (ni). (Entered: 10/07/2013) 10/09/ NOTICE of appearance filed by Juan R. Requena-Davila on behalf of All Plaintiffs Suggestions in opposition/response due by 10/25/2013 (Requena-Davila, Juan) Modified on 10/11/2013 as to title (ni). (Entered: 10/09/2013) 10/15/ MOTION for Extension of Time to File Answer to the Second Amended Complaint (Defendants' Unopposed Motion to Extend Time) re: 60 Amended Complaint filed by Carmelo Roman, SDM Holdings, Inc., Onnasis Corporation, Julio Tormes- Rodriquez, Ricardo Roman-Rivera filed by Ubaldo M. Fernandez-Barrera on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 10/31/2013 (Related document(s) 60 ) (Fernandez- Barrera, Ubaldo) (Entered: 10/15/2013) 10/28/ MOTION for Reconsideration re 83 Order on Motion to Dismiss, MOTION for Certificate of Appealability filed by Mauricio O. Muniz-Luciano on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in

27 opposition/response due by 11/15/2013 (Related document(s) 83 ) (Muniz-Luciano, Mauricio) (Entered: 10/28/2013) 11/05/ MOTION to Compel Rule 26 Conference filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 11/21/2013 (Attachments: # 1 Exhibit 1 Letter for R26, # 2 Exhibit 2 Letter for R26)(Minana, Luis) (Entered: 11/05/2013) 11/12/ MEMORANDUM in Opposition 87 MOTION for Reconsideration re 83 Order on Motion to Dismiss, MOTION for Certificate of Appealability filed by Miguel A. Ferrer, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc. filed by All Plaintiffs. (Attachments: # 1 Supplement Certificate of Service)(Minana, Luis) Modified on 11/13/2013 as to docket text (ni). (Entered: 11/12/2013) 11/20/ Memorandum in Opposition to Motion to Compel filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Re: 88 MOTION to Compel Rule 26 Conference filed by Carmelo Roman, SDM Holdings, Inc., Onnasis Corporation, Julio Tormes-Rodriquez, Ricardo Roman- Rivera filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. (Fernandez-Barrera, Ubaldo) (Entered: 11/20/2013) 11/20/ MOTION for Leave to File Document Reply to Plaintiffs' Opposition to Motion for Reconsideration filed by Ubaldo M. Fernandez-Barrera on behalf of Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 12/6/2013 (Attachments: # 1 Exhibit Reply, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3)(Fernandez-Barrera, Ubaldo) (Entered: 11/20/2013) 11/27/ MOTION for Leave to File Reply in further support of plaintiffs' 88 motion to compel defendants to confer under Rule 26(f) filed by Luis E. Minana on behalf of All Plaintiffs. Suggestions in opposition/response due by 12/13/2013. (Attachments: # 1 Supplement Plaintiffs' Reply Memorandum in further support, # 2 Text of Proposed Order to compel defendants to confer under Rule 26(f))(Minana, Luis) Modified on 12/2/2013 to create link to document #88 and lower capital letters(ni). (Entered: 11/27/2013) 12/12/ ORDER denying 88 Motion to Compel; finding as moot 92 Motion for Leave to File. Signed by Judge Carmen C. Cerezo on 12/12/13. (gsr) (Entered: 12/13/2013) 12/12/ ORDER granting 91 Motion for Leave to File. Signed by Judge Carmen C. Cerezo on 12/12/13. (gsr) (Entered: 12/13/2013) 12/12/ MINUTE ORDER before Judge Carmen C. Cerezo. Since there is a pending Motion for Reconsideration (docket entry 87), upon disposition of this motion, the case will be reexamined to determine if a new Case Management Order establishing a new discovery deadline and new pretrial and trial settings is necessary. (gsr) Modified on 12/16/2013 to add judge's name (ni). (Entered: 12/13/2013)

28 12/16/ REPLY to Response to Motion for Reconsideration, or in the Alternative, Motion to Certify Question for Interlocutory Appeal pursuant to 28 U.S.C. 1292(b) filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico Re: 87 MOTION for Reconsideration re 83 Order on Motion to Dismiss MOTION for Certificate of Appealability filed by Miguel A. Ferrer, UBS Trust Company of Puerto Rico, UBS Financial Services, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc. of Puerto Rico, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc. filed by Miguel A. Ferrer, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Fernandez-Barrera, Ubaldo) (Entered: 12/16/2013) 02/27/ Minutes of Proceedings before Judge Carmen C. Cerezo: Given the pending 87 Motion for Reconsideration of 83 Order, its 89 Opposition, and movants' 96 reply filed 12/16/13, the 3/3/2014 jury trial is VACATED. (mld) (Entered: 02/27/2014) 06/12/ MOTION to Consolidate Cases filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 6/30/2014 (Minana, Luis) (Entered: 06/12/2014) 06/12/ MOTION to Withdraw Document re: 98 MOTION to Consolidate Cases filed by Carmelo Roman, SDM Holdings, Inc., Onnasis Corporation, Julio Tormes- Rodriquez, Ricardo Roman-Rivera filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 6/30/2014 (Related document(s) 98 ) (Minana, Luis) (Entered: 06/12/2014) 06/12/ MOTION to Consolidate Cases filed by Luis E. Minana on behalf of Carmelo Roman, Ricardo Roman-Rivera, SDM Holdings, Inc. Suggestions in opposition/response due by 6/30/2014 (Attachments: # 1 Text of Proposed Order A Memorandum and Text of Proposed Order, # 2 Civil Cover Sheet B, # 3 Category Sheet C, # 4 Exhibit D CV Bernstein Livowitz, # 5 Exhibit E CV Grant Eisenhofer, # 6 Exhibit F CV Kessler Topaz, # 7 Exhibit G Bernstein Livowitz Dozier, # 8 Exhibit H CV A. Lopez)(Minana, Luis) (Entered: 06/12/2014) 06/17/ Joint MOTION for Hearing and Status Conference filed by Luis E. Minana on behalf of All Plaintiffs Suggestions in opposition/response due by 7/7/2014 (Minana, Luis) (Entered: 06/17/2014) 06/26/ Joint MOTION for Setting Briefing Schedule filed by Salvador J. Antonetti-Stutts on behalf of All Parties Suggestions in opposition/response due by 7/14/2014 (Antonetti-Stutts, Salvador) (Entered: 06/26/2014) 07/11/ MOTION for Joinder to Docket No. 36 in Civil No CCC (Opposition to Plaintiffs' Joint Motion for Modification of the October 16, 2012 Consolidation Order and Leave to File a Master Consolidated Complaint) filed by Salvador J. Antonetti-Stutts on behalf of Miguel A. Ferrer, Miguel A. Ferrer, Carlos J. Ortiz, Carlos J. Ortiz, Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc., UBS Financial Services of Puerto Rico Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico,

29 UBS Trust Company of Puerto Rico Suggestions in opposition/response due by 7/31/2014 (Antonetti-Stutts, Salvador) (Entered: 07/11/2014) 08/08/ PLAINTIFFS' JOINT CONSOLIDATED MEMORANDUM of law in Opposition to defendants' motions to transfer venue and in further support of plaintiffs' joint motion for modification of the October 16, 2012 consolidation order filed by All Plaintiffs Re: 103 MOTION for Joinder to Docket No. 36 in Civil No CCC (Opposition to Plaintiffs' Joint Motion for Modification of the October 16, 2012 Consolidation Order and Leave to File a Master Consolidated Complaint) filed by Miguel A. Ferrer, UBS Financial Services, Inc., Carlos J. Ortiz, UBS Trust Company of Puerto Rico, UBS Financial Services of Puerto Rico Inc., UBS Financial Services, Inc. of Puerto Rico, Puerto Rico Fixed Income V, Inc., Puerto Rico Fixed Income Fund III, Inc., 102 Joint MOTION for Setting Briefing Schedule filed by all parties. (Attachments: # 1 Exhibit A-U.S. District Courts Civil Cases Commenced, Terminated, and Pending, # 2 Exhibit B-United States District Courts National Judicial Caseload Profile, # 3 Supplement Certificate of Service)(Minana, Luis) Modified on 8/12/2014 to lower capital letters and substitute "individual names" with "all parties" (ni). (Entered: 08/08/2014) 09/16/ ORDER denied 87 Motion for Reconsideration of 83 Order or, in the Alternative, Motion to Certify Questions for Interlocutory Appeal; granted until 9/29/ Motion for Extension of Time to Answer Second Consolidated Amended Complaint. Signed by Judge Carmen C. Cerezo on 9/16/2014. (mld) (Entered: 09/17/2014) 09/25/ MOTION to Substitute Counsel Attorney Salvador J. Antonetti-Stutts as to defendant Miguel A. Ferrer only filed by Salvador J. Antonetti-Stutts on behalf of Miguel A. Ferrer, Carlos J. Ortiz, UBS Financial Services of Puerto Rico Inc., UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico. Suggestions in opposition/response due by 10/14/2014 (Antonetti-Stutts, Salvador) Modified on 9/26/2014 to delete repeated filers. (nat). Modified on 10/2/2014 to edit docket text (nat). (Entered: 09/25/2014) 09/26/ NOTICE of Appearance by Guillermo J. Bobonis on behalf of Miguel A. Ferrer (Bobonis, Guillermo) (Entered: 09/26/2014) 09/26/ NOTICE of Appearance by Enrique G. Figueroa-Llinas on behalf of Miguel A. Ferrer (Figueroa-Llinas, Enrique) (Entered: 09/26/2014) 09/29/ ANSWER to 60 Amended Complaint filed by Guillermo J. Bobonis on behalf of Defendant Miguel A. Ferrer.(Bobonis, Guillermo) Modified on 9/30/2014 to delete repeated text (nat). (Entered: 09/29/2014) 09/29/ ANSWER to 60 Amended Complaint filed by Salvador J. Antonetti-Stutts on behalf of Defendants Carlos J. Ortiz, UBS Financial Services, Inc., UBS Financial Services, Inc. of Puerto Rico, UBS Trust Company of Puerto Rico.(Antonetti-Stutts, Salvador) Modified on 9/30/2014 to delete repeated text (nat). (Entered: 09/29/2014) 09/29/ ANSWER to 60 Amended Complaint filed by Roberto C. Quinones-Rivera on behalf of Defendants Puerto Rico Fixed Income Fund III, Inc., Puerto Rico Fixed Income V, Inc..(Quinones-Rivera, Roberto) (Entered: 09/29/2014) 09/30/ Motion to allow Melvin A. Brosterman to appear pro hac vice (Pro Hac fee $150 receipt number PRX ) filed by Guillermo J. Bobonis on behalf of Miguel