U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:04-cv RO

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1 US District Court Civil Docket as of 06/14/2006 Retrieved from the court on Friday, June 16, 2006 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:04-cv RO Martinez et al v. Merrill Lynch & CO. Inc. et al Assigned to: Judge Richard Owen Lead case: 1:04-cv RO Member cases: 1:04-cv RO 1:04-cv RO 1:04-cv RO Related Cases: 1:04-cv RO 1:04-cv RO 1:04-cv RO Cause: 15:78m(a) Securities Exchange Act Plaintiff William Martinez Individually and on behalf of all others similarly situated Date Filed: 05/17/2004 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Peter Edward Seidman Milberg Weiss Bershad & Schulman LLP (NYC) One Pennsylvania Plaza New York, NY (212) Fax: (212) Steven G. Schulman Milberg Weiss Bershad & Schulman LLP (NYC) One Pennsylvania Plaza New York, NY Fax: Plaintiff Kenneth A. Parker Individually and on behalf of all others similarly situated represented by Peter Edward Seidman Steven G. Schulman Plaintiff

2 Albert Said Individually and on behalf of all others similarly situated represented by Peter Edward Seidman Steven G. Schulman Plaintiff John R. Williams Individually and on behalf of all others similarly situated represented by Peter Edward Seidman Steven G. Schulman V. Consolidated Plaintiff Dawn Maniskas Fao Rebecca Maniskas, invididually and on behalf of all others similarly situated Consolidated Plaintiff Michael Bukiet Consolidated Plaintiff R.J. Rilee, Sr. V. Merrill Lynch & Co., Inc. represented by Alfred Robert Pietrzak Sidley Austin LLP(NY) 787 Seventh Avenue New York, NY (212) Fax: (212) LEAD ATTORNEY Mark Holland Clifford Chance US, LLP(NYC!) 31 West 52nd Street New York, NY (212)

3 Fax: (212) LEAD ATTORNEY Thomas Joseph Lilly, Jr. O'Donnell Schwartz Glanstein & Lilly LLP 245 Hillside Avenue Williston Park, NY (516) Fax: (516) LEAD ATTORNEY Merrill Lynch, Pierce Fenner & Smith Incorporated represented by Alfred Robert Pietrzak LEAD ATTORNEY Mark Holland LEAD ATTORNEY Merrill Lynch Investment Managers, L.P. represented by Mark Holland LEAD ATTORNEY David O Beim Swidler Berlin Shereff Friedman, LLP 405 Lexington Avenue New York, NY (212) Fax: (212) joseph.donley@dechert.com James H. Bodurtha

4 Donald W. Burton M. Colyer Crum James T. Flynn Ronald W. Forbes Todd Goodwin Joe Grills Laurie Simon Hodrick

5 George W. Holbrook, Jr. W. Carl Kester Herbert I London Cynthia A. Montgomery Andre F Perold Roberta Cooper Ramo Karen P. Robards

6 Kevin A. Ryan Robert S. Salomon, Jr. Roscoe S. Suddarth Stephen B. Swensrud David H. Walsh Fred G Weiss Richard R. West

7 Edward D. Zinbarg Merrilll Lynch Investment Management Funds represented by Mark Holland Clifford Chance US, LLP(NYC!) 31 West 52nd Street New York, NY (212) Fax: (212) The Wilmot Proposed Lead Plaintiffs Stull Stull & Brody 6 East 45th Street, 5th Floor New York, NY Fax: ssbny@aol.com Nicholas J. Kostins Laura Davis Productions Debra Kay Painter Douglas Ray Painter

8 Dardanella Firestone Alvin Firestone Michael Bukiet Helmuth Wilmot Sharon Wilmot Leanne Wilmot Laurie Wilmot Elizabeth Wilmot

9 John H. Wilmot Bernard E. David Clyde Olson Date Filed # Docket Text 05/17/ COMPLAINT against Merrill Lynch & CO. Inc., Merrill Lynch Investment Managers, L.P., Merrill Lynch, Pierce Fenner & Smith Incorporated. (Filing Fee $ , Receipt Number )Document filed by William Martinez, Kenneth A. Parker, Albert Said, John R. Williams.(gf, ) (Entered: 05/19/2004) 05/17/2004 SUMMONS ISSUED as to Merrill Lynch & CO. Inc., Merrill Lynch Investment Managers, L.P., Merrill Lynch, Pierce Fenner & Smith Incorporated. (gf, ) (Entered: 05/19/2004) 05/17/2004 Magistrate Judge Andrew J. Peck is so designated. (gf, ) (Entered: 05/19/2004) 07/12/ STIPULATION AND ORDER plaintiffs will file an amended consolidated complaint within 60 days after the Court's appointment of lead plaintiff; defendants will respond to the amended consolidated complaint within 60 days of service thereof; In the event that defendants move to dismiss the amended consolidated complaint, plaintiffs will serve opposition within 60 days of the service of the motion and defendants will serve reply papers, if any within 45 days of service of plaintiff;s opposition papers. (Signed by Judge Richard Owen on 7/9/2004) (Entered: 07/13/2004) 07/19/ FILING ERROR - ELECTRONIC FILING IN NON-ECF CASE - MOTION to Appoint The Wilmot Proposed Lead Plaintiffs to serve as lead plaintiff(s). Document filed by The Wilmot Proposed Lead Plaintiffs. (Brody, Aaron) Modified on 7/22/2004 (kkc, ). (Entered: 07/19/2004) 07/19/ FILING ERROR - ELECTRONIC FILING IN NON-ECF CASE - MEMORANDUM OF LAW in Support re: 3 MOTION to Appoint The Wilmot Proposed Lead Plaintiffs to serve as lead plaintiff(s).. Document filed by The

10 Wilmot Proposed Lead Plaintiffs. (Brody, Aaron) Modified on 7/22/2004 (kkc, ). (Entered: 07/19/2004) 07/19/ FILING ERROR - ELECTRONIC FILING IN NON-ECF CASE - MOTION to Appoint The Wilmot Proposed Lead Plaintiffs to serve as lead plaintiff(s) Declaration of Aaron L. Brody in Support of the Motion of The Wilmot Proposed Lead Plaintiffs. Document filed by The Wilmot Proposed Lead Plaintiffs. (Brody, Aaron) Modified on 7/22/2004 (kkc, ). (Entered: 07/19/2004) 07/19/ MOTION by The Merrill Lynch Funds; to Appoint Counsel Steering Committee, and approval of Selection of Lead Counsel., MOTION to Appoint Merrill Lynch Funds to serve as lead plaintiff(s)., MOTION to Consolidate Cases 04-cv-3759, 04cv3875, 04cv4109 and 04cv5296 ; (orig. document docketed in 04cv3759 as document #6. (pl, ) Modified on 7/21/2004 (pl, ). (Entered: 07/21/2004) 07/19/ MEMORANDUM OF LAW in Support re: [6] MOTION to Appoint Counsel. MOTION to Appoint Merrill Lynch Funds to serve as lead plaintiff(s). MOTION to Consolidate Cases 04-cv-3759, 04cv3875, 04cv4109 and 04cv5296. MOTION to Appoint Counsel. MOTION to Appoint Merrill Lynch Funds to serve as lead plaintiff(s). MOTION to Consolidate Cases 04-cv-3759, 04cv3875, 04cv4109 and 04cv5296. (pl, ) (Entered: 07/21/2004) 07/19/ DECLARATION of Peter E. Seidman in Support re: [6] MOTION to Appoint Counsel. MOTION to Appoint Merrill Lynch Funds to serve as lead plaintiff(s). MOTION to Consolidate Cases 04-cv-3759, 04cv3875, 04cv4109 and 04cv5296. MOTION to Appoint Counsel. MOTION to Appoint Merrill Lynch Funds to serve as lead plaintiff(s). MOTION to Consolidate Cases 04-cv-3759, 04cv3875, 04cv4109 and 04cv5296. (pl, ) (Entered: 07/21/2004) 07/22/2004 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF CASE ERROR. Note to Attorney Aaron Brody to MANUALLY RE-FILE Document Motion, Memorandum of Law, Declaration, Document No This case is not ECF. (kkc, ) (Entered: 07/22/2004) 07/22/ STIPULATION AND ORDER, that defts' time to answer the complaints in , , , is hereby stayed. Plntfs will file an amended complaint within 60 days afte rthe court's appointment of lead plaintiff. Defts will respond to the amended complaint within 60 days of the service, as further set forth in this document. (Signed by Judge Richard Owen on 7/13/04) (cd, ) (Entered: 07/22/2004) 07/22/ Motion for an order consolidating 04cv3759, 04cv3875, 04cv4109, and 04cv5296 pursuant to Rule 42 of the FRCP, for an order appointing the Wilmot proposed lead plaintiffs as lead plaintiffs in this action pursuant to the Private Securities Litigation Reform Act of 1995 and approving movants' selection of lead counsel. Document filed by Nicholas J. Kostins, Laura Davis Productions, Debra Kay Painter, Douglas Ray Painter, Dardanella Firestone, Alvin Firestone, Michael Bukiet, Helmuth Wilmot, Sharon Wilmot, Leanne Wilmot, Laurie Wilmot, Elizabeth Wilmot, John H. Wilmot, Bernard E. David, Clyde Olson. (dle, ) Modified on 7/27/2004 (dle, ). (Entered: 07/27/2004) 07/22/ MEMORANDUM OF LAW in Support of the Wilmot proposed lead plaintiffs' [10] MOTION to Appoint lead plaintiffs. MOTION to Consolidate Cases and

11 approval of selection of lead counsel. Document filed by Michael Bukiet, Bernard E. David, Alvin Firestone, Dardanella Firestone, Nicholas J. Kostins, Laura Davis Productions, Clyde Olson, Debra Kay Painter, Douglas Ray Painter, Elizabeth Wilmot, Helmuth Wilmot, John H. Wilmot, Laurie Wilmot, Leanne Wilmot, Sharon Wilmot. (dle, ) (Entered: 07/27/2004) 07/22/ DECLARATION of Aaron L. Brody in Support of [10] motion of the Wilmot proposed lead plaintiffs for consolidation, appointment as lead plaintiffs and approval of selection of lead counsel. Document filed by Michael Bukiet, Bernard E. David, Alvin Firestone, Dardanella Firestone, Nicholas J. Kostins, Laura Davis Productions, Clyde Olson, Debra Kay Painter, Douglas Ray Painter, Elizabeth Wilmot, Helmuth Wilmot, John H. Wilmot, Laurie Wilmot, Leanne Wilmot, Sharon Wilmot. (dle, ) (Entered: 07/27/2004) 09/13/ STIPULATION AND ORDER that 04cv3759, 04cv3875, 04cv4109, and 04cv5296 are consolidated into one action for all purposes, purs. to FRCP 42(a); this order shall apply as specified to the consolidated action and to each case that relates to the same subject matter that is subsequently filed in this court or transferred to this court and is consolidated with the consolidated action; a master file is established for this proceeding; the master file shall be 04cv3759 and the clerk shall file all pleadins in the master file and note such filings on the master docket as further set forth in this order; the Merrill Lynch Funds lead plaintiff movants are appointed lead plaintiff purs. to section 21D(a)(3)(E) of the securities exchange act of 1934; a steering committee comprised of class members McLaren, Leitch, Rubenstein as trustee for Sarfity Corp. Pension Plan & Trust, Schuetz and Donnelly are appointed to represent the Merrill Lynch Funds lead plaintiff movants as lead plaintiff; Milberg Weiss is appointed lead counsel to the class and shall assume and exercise the powers and responsibilities as further set forth in this stipulation. (Signed by Judge Richard Owen on 9/10/04) (dle, ) (Entered: 09/16/2004) 11/10/ ENDORSED LETTER addressed to Judge Richard Owen from Michael R. Reese dated 11/9/04; re: granting Plaintiffs' request for a 10 day extension to file and serve their amended complaint. Amended Pleadings due by 11/19/2004. (Signed by Judge Richard Owen on 11/10/04) (sac, ) (Entered: 11/12/2004) 11/15/ AFFIDAVIT OF SERVICE of Summons and Complaint,. Merrill Lynch, Pierce Fenner & Smith Incorporated served on 5/24/2004, answer due 6/14/2004. Service was accepted by Mario Pati. Document filed by William Martinez. (cd, ) (Entered: 11/22/2004) 11/15/ AFFIDAVIT OF SERVICE of Summons and Complaint,. Merrill Lynch & Co., Inc. served on 5/24/2004, answer due 6/14/2004. Service was accepted by Mario Pati. Document filed by William Martinez. (cd, ) (Entered: 11/22/2004) 11/15/ AFFIDAVIT OF SERVICE of Summons and Complaint,. Merrill Lynch Investment Managers, L.P. served on 5/26/2004, answer due 6/15/2004. Service was accepted by Rosana Holder. Document filed by William Martinez. (cd, ) (Entered: 11/22/2004) 11/19/ CONSOLIDATED AMENDED COMPLAINT amending [1] Complaint, against Michael Bukiet, Bernard E. David, Alvin Firestone, Dardanella Firestone, Nicholas J. Kostins, Laura Davis Productions, Merrill Lynch & Co., Inc., Merrill Lynch

12 Investment Managers, L.P., Merrill Lynch, Pierce Fenner & Smith Incorporated, Clyde Olson, Debra Kay Painter, Douglas Ray Painter, The Wilmot Proposed Lead Plaintiffs, Elizabeth Wilmot, Helmuth Wilmot, John H. Wilmot, Laurie Wilmot, Leanne Wilmot, Sharon Wilmot.Document filed by Michael Bukiet, Dawn Maniskas, William Martinez, Kenneth A. Parker, R.J. Rilee Sr., Albert Said, John R. Williams. Received in the night deposit box on 11/19/04 at 10:02 p.m.. Related document: [1] Complaint, filed by John R. Williams, William Martinez, Kenneth A. Parker, Albert Said.(sac, ) (Entered: 11/23/2004) 12/23/ Acceptance of Service. Counsel on behalf of dfts accept service of the consolidated class action complaint, waives service of a summons in this action and does not require service of the complaint in the manner provided by Rule 4 of the FRCP. (dle, ) (Entered: 12/27/2004) 12/23/ Acceptance of Service. Counsel on behalf of dfts accept service of the consolidated class action complaint, waives service of a. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Investment Managers, L.P., Merrill Lynch, Pierce Fenner & Smith Incorporated, Princeton Services, Inc., Fund Asset Management, L.P., FAM Distributors, Inc. and Terry K. Glenn. (db, ) (Entered: 12/28/2004) 12/23/ ACCEPTANCE OF SERVICE RETURNED EXECUTED Document filed by Dawn Maniskas, R.J. Rilee, Sr, William Martinez, Kenneth A. Parker, Albert Said, John R. Williams. Merrill Lynch Investment Managers, L.P. waiver sent on 12/20/2004, answer due 2/18/2005; Merrill Lynch & Co., Inc. waiver sent on 12/20/2004, answer due 2/18/2005; Merrill Lynch, Pierce Fenner & Smith Incorporated waiver sent on 12/20/2004, answer due 2/18/2005. (jco, ) (Entered: 01/06/2005) 01/12/ STIPULATION AND ORDER, that defts will respond to the Amended Complaint on or before 1/28/05; in the event that defts move to dismiss the complaint, plntfs will serve opposition papers on or before 4/11/05; defts will serve reply papers, if any, on or before 5/20/05. (Signed by Judge Richard Owen on 1/12/05) (cd, ) (Entered: 01/19/2005) 01/20/ MOTION for Marvin E. Barkin to Appear Pro Hac Vice on behalf of Nominal defendants, The Merrill Lynch Funds identified in Exhibit D to the complaint.document filed by Merrill Lynch & Co., Inc. (djc, ) Modified on 9/19/2005 (jco, ). (Entered: 02/01/2005) 01/20/ RULE 7.1 DISCLOSURE STATEMENT. document filed by Nominal s(djc, ) (Entered: 02/01/2005) 01/28/ AFFIDAVIT of Andrew W. Stern in Support of their motion to dismiss the consolidated amended class action complaint. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (Filed in the night deposit on 1/28/05 at 7:51 p.m.)(ae, ) (Entered: 02/09/2005) 01/28/ RULE 7.1 DISCLOSURE STATEMENT. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated.(fk, ) (Entered: 02/09/2005) 01/28/ MOTION to Dismiss. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. Return Date set for 6/3/ :30 PM. (fk, )

13 (Entered: 02/09/2005) 01/28/ MEMORANDUM OF LAW in Support re: [31] MOTION to Dismiss.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (fk, ) (Entered: 02/09/2005) 01/31/ MOTION to Dismiss the Consoldated Amended Class Action Complaint. Document filed by David O Beim, James H. Bodurtha, Donald W. Burton, M. Colyer Crum, James T. Flynn, Ronald W. Forbes, Todd Goodwin, Joe Grills, Laurie Simon Hodrick, George W. Holbrook, Jr, W. Carl Kester, Herbert I London, Cynthia A. Montgomery, Andre F Perold, Roberta Cooper Ramo, Karen P. Robards, Kevin A. Ryan, Robert S. Salomon, Jr, Roscoe S. Suddarth, Stephen B. Swensrud, David H. Walsh, Fred G Weiss, Richard R. West, Edward D. Zinbarg. Return Date set for 6/3/ :30 PM. (Donley, Joseph) (Entered: 01/31/2005) 01/31/ MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Consoldated Amended Class Action Complaint.. Document filed by David O Beim, James H. Bodurtha, Donald W. Burton, M. Colyer Crum, James T. Flynn, Ronald W. Forbes, Todd Goodwin, Joe Grills, Laurie Simon Hodrick, George W. Holbrook, Jr, W. Carl Kester, Herbert I London, Cynthia A. Montgomery, Andre F Perold, Roberta Cooper Ramo, Karen P. Robards, Kevin A. Ryan, Robert S. Salomon, Jr, Roscoe S. Suddarth, Stephen B. Swensrud, David H. Walsh, Fred G Weiss, Richard R. West, Edward D. Zinbarg. (Donley, Joseph) (Entered: 01/31/2005) 01/31/ AFFIRMATION of Joseph F. Donley in Support re: 23 MOTION to Dismiss the Consoldated Amended Class Action Complaint.. Document filed by David O Beim, James H. Bodurtha, Donald W. Burton, M. Colyer Crum, James T. Flynn, Ronald W. Forbes, Todd Goodwin, Joe Grills, Laurie Simon Hodrick, George W. Holbrook, Jr, W. Carl Kester, Herbert I London, Cynthia A. Montgomery, Andre F Perold, Roberta Cooper Ramo, Karen P. Robards, Kevin A. Ryan, Robert S. Salomon, Jr, Roscoe S. Suddarth, Stephen B. Swensrud, David H. Walsh, Fred G Weiss, Richard R. West, Edward D. Zinbarg. (Attachments: # 1 Exhibit A Part 1 of 4# 2 Exhibit A Part 2 of 4# 3 Exhibit A Part 3 of 4# 4 Exhibit A Part 4 of 4# 5 Exhibit B# 6 Exhibit C)(Donley, Joseph) (Entered: 01/31/2005) 01/31/ CERTIFICATE OF SERVICE of Notice of Motion of the Independent Director s to Dismiss the Consolidated Amended Class Action Complaint, Affirmation of Joseph F. Donley and the Exhibits annexed thereto and Memorandum of Law in Support of the Independent Director s to Dismiss the Consolidated Amended Class Action Complaint on January 28, Document filed by David O Beim, James H. Bodurtha, Donald W. Burton, M. Colyer Crum, James T. Flynn, Ronald W. Forbes, Todd Goodwin, Joe Grills, Laurie Simon Hodrick, George W. Holbrook, Jr, W. Carl Kester, Herbert I London, Cynthia A. Montgomery, Andre F Perold, Roberta Cooper Ramo, Karen P. Robards, Kevin A. Ryan, Robert S. Salomon, Jr, Roscoe S. Suddarth, Stephen B. Swensrud, David H. Walsh, Fred G Weiss, Richard R. West, Edward D. Zinbarg. (Donley, Joseph) (Entered: 01/31/2005) 02/04/ STIPULATION AND ORDER: that the Law Firm of Dechert, L.L.P. substitute and take place of Swidler, Berlin, L.L.P. as counsel for defendants Independant Directors of the Merrill Lynch Funds. (Signed by Judge Richard Owen on 1/20/05)

14 (db, ) (Entered: 02/14/2005) 04/14/ STIPULATION AND ORDER. Plaintiffs' date to serve their opposition to defendants' motions to dismiss is extended to 5/2/05. s' date to serve their reply papers is moved to 6/11/05. The stipulation and order dated 12/17/04, and entered 1/12/05, is superseded by this agreement (yv, ) (Entered: 04/19/2005) 05/02/ PLAINTIFFS' MEMORANDUM OF LAW in Opposition re: [31] MOTION to Dismiss.. Document filed by Dawn Maniskas, R.J. Rilee, Sr, The Wilmot Proposed Lead Plaintiffs, William Martinez, Kenneth A. Parker, Albert Said, John R. Williams. (jmi, ) (Entered: 05/04/2005) 05/02/ DECLARATION of Michael R. Reese in Support of Plaintiffs' Opposition to s' re: [31] MOTION to Dismiss.. Document filed by Dawn Maniskas, Michael Bukiet, R.J. Rilee, Sr, The Wilmot Proposed Lead Plaintiffs, William Martinez, Kenneth A. Parker, Albert Said, John R. Williams. (jmi, ) (Entered: 05/04/2005) 05/02/ COMPENDIUM of unreported authorities not available on Westlaw per the individual rules of practice of Judge Richard Owen cited in pltffs opposition to defts motions to dismiss. Document filed by Dawn Maniskas, Michael Bukiet, R.J. Rilee, Sr, William Martinez, Kenneth A. Parker, John R. Williams. (jp, ) (Entered: 05/04/2005) 05/24/ NOTICE of Appearance by Mark Holland on behalf of Princeton Services, Inc., Fund Asset Management L.P., Merrill Lynch Investment Managers, L.P., Merrill Lynch Investment Managers International Limited, Merrill Lynch Asset Management, L.P., Merrill Lynch Asset Management U.K. Limited, FAM Distributors, Inc. and Terry Glenn. (db, ) (Entered: 05/26/2005) 06/02/ NOTICE of Change of Address by Thomas J. Lilly, Jr on behalf of Merrill Lynch Investment Managers, L.P., Merrill Lynch, Pierce Fenner & Smith Incorporated. New Address: O'Donnell, Schwartz, Glanstein & Lilly, LLP, 245 Hillside Avenue, Williston Park, NY, 11596, (516) (jma, ) (Entered: 06/07/2005) 06/10/ REPLY MEMORANDUM OF LAW in Support re: [31] MOTION to Dismiss.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (mde, ) (Entered: 06/16/2005) 09/09/ MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Consoldated Amended Class Action Complaint.. Document filed by Merrill Lynch Investment Managers, L.P., Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ DEFENDANTS MERRILL LYNCH FUNDS' REPLY MEMORANDUM OF LAW TO PLAINTIFFS' re: [35] Memorandum of Law in Oppisition to Motion. Document filed by Merrill Lynch Investment Managers, L.P., Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ NOTICE OF MOTION BY THE FUND ADVISER DEFENDANTS to Dismiss the consolidated amended complaint. Document filed by Merrilll Lynch Investment Management Funds, Merrill Lynch Investment Managers, L.P., Merrill Lynch &

15 Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ MEMORANDUM OF LAW in Support re: [43] MOTION to Dismiss.. Document filed by Merrill Lynch Investment Managers, L.P., Merrilll Lynch Investment Management Funds, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ RULE 7.1 DISCLOSURE STATEMENT. Document filed by Merrill Lynch Investment Managers, L.P., Merrilll Lynch Investment Management Funds, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated.(jmi, ) (Entered: 09/16/2005) 09/09/ DECLARATION of Mark Holland in Support re: [43] MOTION to Dismiss.. Document filed by Merrill Lynch Investment Managers, L.P., Merrilll Lynch Investment Management Funds, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ DECLARATION of Mary K. Dulka in Support re: [43] MOTION to Dismiss.. Document filed by Merrill Lynch Investment Managers, L.P., Merrilll Lynch Investment Management Funds, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/09/ REPLY MEMORANDUM OF LAW in Support re: [43] MOTION to Dismiss.. Document filed by Merrill Lynch Investment Managers, L.P., Merrilll Lynch Investment Management Funds, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. (jmi, ) (Entered: 09/16/2005) 09/14/2005 Transmission to Attorney Admissions Clerk. Transmitted re: [49] Order on Motion to Dismiss, to the Attorney Admissions Clerk for updating of Attorney Information. (jco, ) (Entered: 09/16/2005) 09/14/ ORDER granting [27] Motion for Marvin E. Barkin to Appear Pro Hac Vice. (Signed by Judge Richard Owen on 9/14/05) (jco, ) (Entered: 09/19/2005) 09/15/2005 Minute Entry for proceedings held before Judge Richard Owen : Oral Argument held on 9/15/2005 re: motion for lead counsel in the Erisa Action. (pl, ) (Entered: 09/20/2005) 09/16/2005 Minute Entry for proceedings held before Judge Richard Owen : Oral Argument held on 9/16/2005 re: [43] MOTION to Dismiss. filed by Merrill Lynch & Co., Inc.,, Merrill Lynch, Pierce Fenner & Smith Incorporated,, Merrill Lynch Investment Managers, L.P.,, Merrilll Lynch Investment Management Funds,. (pl, ) (Entered: 09/20/2005) 09/22/2005 CASHIERS OFFICE REMARK on [49] Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 9/16/2005, Receipt Number (jd, ) (Entered: 09/22/2005) 10/04/ TRANSCRIPT of proceedings held on 9/16/2005 before Judge Richard Owen. (jar, ) (Entered: 10/04/2005) 10/18/ STIPULATION AND ORDER OF DISMISSAL with prejudice and with each party bearing its own costs... (Signed by Judge Richard Owen on 10/14/05) (jf, )

16 (Entered: 10/19/2005) 12/29/ NOTICE OF CHANGE OF ADDRESS by Donald P. Renaldo, II, Alfred Robert Pietrzak on behalf of Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. New Address: Sidley Austin LLP, 787 Seventh Avenue, New York, New York, (sac, ) (Entered: 12/30/2005) 06/12/ OPINION AND ORDER # re: [31] MOTION to Dismiss filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce Fenner & Smith Incorporated. In accordance with all the above, defendants motion to dismiss plaintiffs' claims under the Social Security Act, the Exchange Act, The ICA, and the IAA are granted. I decline to exercise supplemental jurisdiction over the remaining state law claim of breach of fiduciary duty. (Signed by Judge Richard Owen on 6/9/06) (kco, ) (Entered: 06/13/2006) 06/13/2006 Transmission to Judgments and Orders Clerk. Transmitted re: [53] Memorandum & Opinion,, to the Judgments and Orders Clerk. (kco, ) (Entered: 06/13/2006) 06/13/ CLERK'S JUDGMENT That for the reasons stated in the Court's Opinion and Order dated June 9, 2006, defendants? motions to dismiss plaintiffs? claims under the Securities Act, the Exchange Act, the ICA, and the IAA are granted and the Court declines to exercise supplemental jurisdiction over the remaining state law claim of breach of fiduciary duty. (Signed by J. Michael McMahon, clerk on 6/13/06) Filed In Associated Cases: 1:04-cv RO,1:04-cv RO,1:04- cv ro,1:04-cv ro(ml, ) (Entered: 06/13/2006) 06/14/2006 Mailed notice of Right to Appeal re: [54] Clerk's Judgment, and to Attorney(s) of Record: Aaron Lee Brody, Mark Holland, Thomas Joseph Lilly, Jr, Alfred Robert Pietrzak, Steven G. Schulman, Peter Edward Seidman. (lma, ) (Entered: 06/14/2006) Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at