U.S. District Court Southern District of Florida (Miami) CIVIL DOCKET FOR CASE #: 1:05-cv KMM

Transcription

1 US District Court Civil Docket as of April 23, 2010 Retrieved from the court on November 14, 2013 U.S. District Court Southern District of Florida (Miami) CIVIL DOCKET FOR CASE #: 1:05-cv KMM Puterman, et al v. Lehman Brothers, et al Assigned to: Judge K. Michael Moore Demand: $0 Case in other court: USCA, E USCA, E Cause: 28:1332 Diversity-Fraud Plaintiff Samuel Puterman individually and for all those similarly situated Date Filed: 04/28/2005 Date Terminated: 12/07/2007 Jury Demand: Plaintiff Nature of Suit: 370 Fraud or Truth-In- Lending Jurisdiction: Diversity represented by Carlos Alberto Velasquez Carlos A. Velasquez Velasquez & Cuetos, P.A. 101 N Pine Island Road Suite 201 Fort Lauderdale, FL Fax: carlosvelasquez-law.com David Philip Milian Carey Rodriguez Greenberg O'Keefe, LLP 1395 Brickell Avenue Suite 700 Miami, FL Fax: dmiliancrgplaw.com Maria Kayanan Kubicki Draper City National Bank Building 25 W Flagler Street Penthouse Miami, FL Fax: mek@kubickidraper.com

2 Victor Manuel Diaz, Jr. VM Diaz and Partners, LLC 119 Washington Avenue Suite 402 Miami Beach, FL Fax: Plaintiff Marcella Cordova represented by Carlos Alberto Velasquez Christopher Fitzgerald Branch Kozyak Tropin & Tbrockmorton 2525 Ponce de Leon Boulevard Suite 900 Coral Gables, FL Fax: David Philip Milian Harley Shepard Tropin Kozyak Tropin & Tbrockmorton 2525 Ponce de Leon Boulevard 9th Floor Coral Gables, FL Fax: Thomas A. Tucker Ronzetti Kozyak Tropin & Tbrockmorton 2525 Ponce de Leon Boulevard Suite 900 Coral Gables, FL

3 Fax: Victor Manuel Diaz, Jr. Plaintiff Jorge Flores represented by Carlos Alberto Velasquez Christopher Fitzgerald Branch David Philip Milian Harley Shepard Tropin Thomas A. Tucker Ronzetti Victor Manuel Diaz, Jr. Plaintiff Henry lurinan represented by Carlos Alberto Velasquez Christopher Fitzgerald Branch

4 David Philip Milian Harley Shepard Tropin Thomas A. Tucker Ronzetti Victor Manuel Diaz, Jr. Plaintiff Marcos Mustieles represented by Carlos Alberto Velasquez Christopher Fitzgerald Branch David Philip Milian Harley Shepard Tropin Thomas A. Tucker Ronzetti Victor Manuel Diaz, Jr.

5 Plaintiff Katia Ocampo represented by Carlos Alberto Velasquez Christopher Fitzgerald Branch David Philip Milian Harley Shepard Tropin Thomas A. Tucker Ronzetti Victor Manuel Diaz, Jr. Plaintiff Instituto De Prevision Mifitar Plaintiff All Plaintiffs represented by Jonathan Cohen Shutts & Bowen 201 S Biscayne Boulevard Suite 1500 Miami Center Miami, FL (305) Fax: (305) jcohen@shutts-law.com represented by Janet L. Humphreys Kozyak Tropin & Tbrockmorton

6 2525 Ponce de Leon Boulevard Suite 900 Coral Gables, FL Fax: David Buckner Grossman Roth 2525 Ponce de Leon Boulevard 11th Floor Coral Gables, FL Fax: dbugrossmanroth. com John Gravante, III Podhurst Orseck, P.A. 25 West Flagler Street Suite 800 Miami, FL Fax: jgravantepodhurst. com Victor Manuel Diaz, Jr. V Defendant Lehman Brothers Inc. a New York Corporation represented by Christian Reginald Bartholomew Weil, Gotshal & Manges 1300 Eye Street, NW, Suite 900 Washington, DC Fax: cbristian.bartholomew@weil.com TERMINATED: Harry Richard Schafer Kenny Nachwalter, P.A. Miami Center

7 201 S Biscayne Boulevard Suite 1100 Miami, FL Fax: hrs@kennynachwalter.com Nicolas Swerdloff Hughes Hubbard & Reed Biscayne Boulevard Suite 2500 Miami, FL Fax: swerdlofhugheshubbard. com Robert Mark Brochin Morgan Lewis & Bockius Biscayne Boulevard Suite 5300 Wachovia Financial Center Miami, FL Fax: rbrochinmorganlewis.com TERMINATED: 11/17/2008 LEAD A TTOR]VEY Rudolph F. Aragon White & Case Biscayne Boulevard Suite 4900 Miami, FL Fax: raragonwhitecase. com Defendant Merrill Lynch & Co., Inc. represented by Dean Bunch Nelson Mullins Riley & Scarborough LLP 3600 Maclay Boulevard S Suite 202 Tallahassee, FL Fax:

8 Ellen B. Cohen Sutherland Asbill & Brennan 999 Peachtree Street NE Suite 2300 Atlanta, GA Fax: Ellen. Patricia A. Gorham Sutherland Asbill & Brennan 999 Peachtree Street NE Suite 2300 Atlanta, GA Fax: patricia.gorhamsutherland.com Richard Lance Robbins Sutherland Asbill & Brennan 999 Peachtree Street NE Suite 2300 Atlanta, GA Fax: Rudolph F. Aragon Terry R. Weiss Sutherland Asbill & Brennan 999 Peachtree Street NE Suite 2300 Atlanta, GA terry.weisssablaw.com

9 Defendant Raymond James Financial Services, Inc. represented by Elizabeth Brooks Honkonen Kenny Nachwalter, P.A. 201 S Biscayne Boulevard Miami Center - Suite 1100 Miami, FL Fax: ebhkennynachwalter.com Erin Kathleen Linehan Raymond James Financial, Inc 880 Carillon Pkwy St. Petersburg, FL Fax: erin.linehanraymondjames. com Harry Richard Schafer Richard H. Critchlow Kenny Nachwalter, P.A. Miami Center Biscayne Boulevard Suite 1100 Miami, FL Fax: rcritchlowknpa.com Rudolph F. Aragon Defendant HSBC Bank USA TERMINATED: represented by Amy E. Gibson Lum Katten Muchin Rosenman LLP 525 West Monroe Street Suite 1600 Chicago, IL 60661

10 Fax: David H. Kistenbroker Katten Muchin Rosenman LLP 525 West Monroe Street Suite 1600 Chicago, IL Fax: Jonathan S. Feld Katten Muchin Rosenman LLP 525 West Monroe Street Suite 1600 Chicago, IL Fax: Scott Allan Cole Cole Scott & Kissane Dadeland Centre II Suite Dadeland Boulevard Miami, FL Fax: scott.colecsklegal.com Theresa L. Davis Katten Muchin Rosenman LLP 525 West Monroe Street Suite 1600 Chicago, IL Fax: theresa.davis@kaftenlaw.com Thomas E. Scott, Jr.

11 Cole Scott & Kissane Dadeland Centre II Suite Dadeland Boulevard Miami, FL Fax: thomas. scottcsklegal.com Joni S. Jacobsen Katten Muchin Rosenman LLP 525 West Monroe Street Suite 1600 Chicago, IL joni.jacobsen@kattenlaw.com Defendant Luis M. Cornide Defendant Robert de la Riva Defendant Oliva Investment Group, Inc. a Florida Corporation represented by Luis M. Corthde Zambrana Street Coral Gables, FL PRO SE represented by Robert de la Riva 711 Jeronimo Dr. Coral Gables, FL PRO SE represented by Jeffrey Erez Sonn & Erez 500 E. Broward Blvd. Suite 1700 Fort Lauderdale, FL Fax: jerez@sonnerez.com Jeffrey R. Soim Sonn & Erez 500 E Broward Boulevard Suite 1600 Fort Lauderdale, FL Fax:

12 Defendant Suntrust Bank, Inc. represented by Samuel Alberto Danon Hunton & Williams 1111 Brickell Avenue Suite 2500 Miami, FL Fax: Rudolph F. Aragon Plaintiff Cesar Aguirre Urbaneja represented by Aaron Samuel Podhurst Podhurst Orseck Josefsberg et al City National Bank Building 25 W Flagler Street Suite 800 Miami, FL Fax: apodhurst@podhurst.com Harley Shepard Tropin Victor Manuel Diaz, Jr. Plaintiff Jose Luis Zambrano represented by Aaron Samuel Podhurst Harley Shepard Tropin

13 Victor Manuel Diaz, Jr. Plaintiff Malliya Salazar represented by Aaron Samuel Podhurst Harley Shepard Tropin Victor Manuel Diaz, Jr. Plaintiff Julio Ledesna represented by Aaron Samuel Podhurst Harley Shepard Tropin Victor Manuel Diaz, Jr. Plaintiff Fernando Quevedo represented by Aaron Samuel Podhurst Harley Shepard Tropin

14 Victor Manuel Diaz, Jr. Plaintiff Enrique Loeser Bravo represented by Aaron Samuel Podhurst Harley Shepard Tropin Victor Manuel Diaz, Jr. Plaintiff Dr. Landivar Gautier represented by Aaron Samuel Podhurst Harley Shepard Tropin Victor Manuel Diaz, Jr. Plaintiff Fabio Eduardo Moreno Charme represented by Aaron Samuel Podhurst Harley Shepard Tropin

15 Victor Manuel Diaz, Jr. Date Filed 04/28/ /03/ /04/ /04/ /04/ /04/ /10/ /10/ /1 1/20O 05/11/ /24/2005 # Docket Text 1. COMPLAINT filed; FILING FEE $ RECEIPT # ; Magistrate Judge I arry L. Garber (bs, Deputy Clerk) (Entered: 04/29/2005) 2 PRI!RIAL ORDER ( Sigucd by Judge K. M. Moore on 5/3/05) [EOD Daic: 5/4 ()S did- Deputy Clerk) (Entered: 05/04/2005) 3 SUMMONS(ES) issued for HSBC Bank USA (mh, Deputy Clerk) (Entered: 05/05/2005) 4 SUMMONS(ES) issued for Raymond James Financ (mh, Deputy Clerk) (Entered: 05/05/2005) 5 SUMMONS(ES) issued for Merrill Lynch & Co. (mh, Deputy Clerk) (Entered: 05/05/2005) St MMONS(ES) issued for Lehman Brothers (mh, Deputy Clerk) (Entered: O 05/2005) 2 RETURN OF SERVICE executed for Lehman Brothers on Answer due on 5/25/05 for Lehman Brothers (mh, Deputy Clerk) (Entered: 05/11/2005)? RETURN OF SERVICE executed for Ra\mond James Financ on Answer due nn 5/25/05 for Raymond James Financ (mit Deputy Clerk) (Enicred: 05/11/2005) RITURN OF SERVICE c'cccuicd for Merrill I nch & Co. on 5 6/05 Answer dtic on 26/05 for Merrill Lynch & Co. (ss, Deputy Clerk) (Entered: 05/13/2005) 10 RETURN OF SERVICE executed for Merrill Lynch & Co. on Answer due on 5/25/05 for Merrill Lynch & Co. (ss, Deputy Clerk) (Entered: 05/13/2005) 11 \QREED MOTION by Merrill Lynch & Co. (Attorney Dean Bunch) to extend time to answer or otherwise plead (mh, Deputy Clerk) (Entered: 05/24/2005) 05/24/ UNOPPOSED MOTION by Raymond James Financ (Attorney Richard H. Critchlow, Harry Richard Schafer) to extend time to respond to the class action complaint (tb, Deputy Clerk) (Entered: 05/25/2005) 05/24/ /24/ /24/ /24/ \ lotion by HSBC Bank USA for David H. Kistenbroker to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) Filing Fee Paid; FILING FEE $ RECEIPT # for David H. Kistenbroker to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) 4 \ lotion by HSBC Bank USA for Theresa L. Davis to appcar pro hac vicc (bs, I )cputv Clerk) (Entered: 05/25/2005) Filing Fee Paid; FILING FEE $75.00 RECEIPT # for Theresa L. Davis to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005)

16 05/24/ MOTION by HSBC Bank USA for Amy E. Gibson Lum to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) 05/24/2005 I ing Fee Paid; FILING FEE $ RECEIPT # for Amy E. Gibson Lum to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) 05/24/ /24/ /24/ /24/ /25/ \ lotion by HSBC Bait USA for Jonathan S. Feld to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) Filing Fee Paid; FILING FEE $ RECEIPT # for Jonathan S. Feld to appear pro hac vice (bs, Deputy Clerk) (Entered: 05/25/2005) \ ( )TICE of attorncv appcarancc for Raymond Janics Financ by Harry R. Schafer (bs, I )cputv Clerk) (Entered: 05/25/2005) H RETURN OF SERVICE executed for HSBC Bank USA on Answer due on 5/31/05 for HSBC Bank USA (bs, Deputy Clerk) (Entered: 05/25/2005) 19 ORDER granting [14-1] motion for Theresa L. Davis to appear pro hac vice( Signed by Judge K. M. Moore on 05/25/05) [EOD Date: 5/26/05] (bb, Deputy Clerk) (Flltcred: 05/26/2005) 05/25/ ORDER granting [15-1] motion for Amy E. Gibson Lum to appear pro hac vice ( Signed by Judge K. M. Moore on 05/25/05) [EOD Date: 5/26/05] (bb, Deputy Clerk) (Entered: 05/26/2005) 05/25/ ORDER granting [16-1] motion for Jonathan S. Feld to appear pro hac vice (Signed 1w Judge K. M. Moore on 05/25/05) [EOD Date: 5/26/05] (bb, Deputy Clerk) Iitcred: 05/26/2005) 05/25/ ORDER granting [12-1] motion to extend time to respond to the class action complaint Set answer due for 6/8/05 for Raymond James Financ ( Signed by Judge K. M. Moore on 05/25/05) [EOD Date: 5/26/05] (bb, Deputy Clerk) (Entered: 05/26/2005) 05/25/ ORDER granting [11-1] motion to extend time to answer or otherwise plead Set answer due for 6/8/05 for Merrill Lynch & Co. (Signed by Judge K. M. Moore on O 25/05) [EOD Date: 5/26/05] (bb, Deputy Clerk) (Entered: 05/26/2005) 05/25/ \( IREED MOTION by Lehman Brothers (Attorney Robert Mark Brochin, Christian Reginald Bartholomew) to extend time to respond to complaint (bs, Deputy Clerk) (Entered: 05/26/2005) 06/03/ ORDER granting [24-1] motion to extend time to respond to complaint reset answer due for 6/8/05 for Lchman Brothers ( Signed by Judge K. M. Moore on 6/2/05) [EOD Date: 6/6/05] (we- Deputy Clerk) (Entered: 06/06/2005) 06/06/ /07/ /07/2005 L NOPPOSED MOTION by Raymond James Financ to extend time to respond to class action complaint (mh, Deputy Clerk) Modified on 06/07/2005 (Entered: 06/07/2005) 27 \QREED MOTION by Merrill Lynch & Co. (Attorney Rudolph F. Aragon) to extend time to answer or otherwise plead (mh, Deputy Clerk) (Entered: 06/08/2005) 29 ORDER granting [26-1] motion to extend time to respond to class action complaint Reset answer due for 6/22/05 for HSBC Bank USA, for Raymond James Financ, for

17 Merrill Lynch & Co., for Lehman Brothers (Signed by Judge K. M. Moore on 6/7/05) IF, OD Date: 6/8/051 (mh Deputy Clerk) (Entered: 06/08/2005) 06/08/ /09/ /09/2005 \ lotion by Lehman Brothers to extend time to respond to complaint (mh, Deputy CIrk) (Entered: 06/09/2005) 30 \ lotion by Merrill Lynch & Co. for Patricia A. Gorham to appear pro hac vice (bb, Deputy Clerk) (Entered: 06/10/2005) Filing Fee Paid; FILING FEE $ RECEIPT # (bb, Deputy Clerk) (Entered: 06/10/2005) 06/09/2005 ORDER granting [29-1] motion to c\tclld time to respond to complaint Reset answer due for 6/15/05 for Lehman Brothers (Signed by Judge K. M. Moore on 6/9/05) [EOD Date: 6/13/05] (mh, Deputy Clerk) (Entered: 06/13/2005) 06/15/ JOINT MOTION by Samuel Puterman, Lehman Brothers to establish scheduling deadlines (mh, Deputy Clerk) (Entered: 06/15/2005) 06/15/ ORDER granting [32-1] agreed joint motion to establish scheduling deadlines; ilaintiffshallfile its amended complaint by June 22, 2005; Lehman Brothers Inc., shall File its response to amended complaint 30 days after service of the amended complaint Signed by Judge K. M. Moore on 6/15/05) [EOD Date: 6/16/05] (mh, Deputy Clerk) Modified on 06/16/2005 (Entered: 06/16/2005) 06/16/ ORDER granting [27-1] motion to extend time to answer or otherwise plead Set answer due for 6/22/05 for Merrill Lynch & Co (Signed by Judge K M Moore on 614/05) [EOD Date: 6/17/05] (mh Deputy Clerk) (Entered: 06/17/2005) 06/16/ ORDER granting [30-1] motion for Patricia A. Gorham to appear pro hac vice (Signed by Judge K. M. Moore on 6/13/05) [EOD Date: 6/17/05] (mh, Deputy Clerk) (Entered: 06/17/2005) 06/20/ JOINT MOTION by Samuel Puterman to extend deadline for the holding of the scheduling conference (mh, Deputy Clerk) (Entered: 06/21/2005) 06/21/ /22/2005 \( 'TPFED MOTION by Samuel Putcrman to establish scheduling dcadlines (mh I )cy)lit Clerk) (Entered: 06/22/2005) 38 \ MENDED COMPLAINT by Samuel Puterman, (Answer due 7/5/05 for HSBC Bank I 4A, for Ra\ mond James Financ, for Merrill Lynch & Co., for Lehman Brothers) amending [1-1] complaint adding Oliva Investment, Suntrust Bank, Inc. (mh, Deputy (-Irk) (Entered: 06/23/2005) 06/22/ ORDER granting [36-1] motion to c\tclld dcadliiic for tlic holding of the scheduling conference Reset scheduling conference for 6/29/05 before Judge K. M. Moore joint schedling report due within ten (10) days of the scheduling conference (Signed by Judge K. M. Moore on 6/22/05) [EOD Date: 6/23/05] (mh, Deputy Clerk) (Entered: 06/23/2005) 06/23/ ORDER granting [37-1] motion to establish scheduling deadlines( Signed by Judge K. M. Moore on 06/23/05) [EOD Date: 6/24/05] (bb, Deputy Clerk) (Entered: 06/24/2005) 06/24/ \IOTION by Marcela Cordova etal to retain special counsel (mh, Deputy Clerk)

18 Modified on 10/13/2005 (Entered: 06/27/2005) 06/29/2005 il SUMMONS(ES) issued for Oliva Investment (mh, Deputy Clerk) (Entered: o6 130/2005) 06/29/2005 SUMMONS(ES) issued for Suntrust Bank, Inc. (mh, Deputy Clerk) (Entered: 06/30/2005) 07/05/ RESPONSE by HSBC Bank USA to [41-1] motion to retain special counsel (1k, Deputy Clerk) (Entered: 07/07/2005) 07/08/ \( IREED MOTION by Oliva Investment to extend time for rsponse to first amended class action complaint (hd, Deputy Clerk) (Enicred: 07/11/2005) 07/12/2005 kill RN OF SERVICE execuicd or Oliva Iiicstment on 7/5/05 Answer due on for Oliva Investment (mh, Deputy Clerk) (Entered: 07/13/2005) 07/14/ Joint Scheduling Report of Scheduling Meeting by Samuel Puterman, Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA, Oliva Investment, Suntrust Bank, Inc. (mh, Deputy Clerk) (Entered: 07/15/2005) 07/15/ MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA (Attorney Harry Richard Schafer, Thomas Emerson Scott Jr.) for case status conference, or in the alternative for adoption of defendant's proposed schedule (rah, Deputy Clerk) (Entered: 07/18/2005) 07/18/ NOTICE of filing return of service by Samuel Puterman, Marcella Cordova, Jorge Flores. Henry lurman, Marcos Mustieles, Katia Ocampo (Former Deputy Clerk) i.itcred: 07/18/2005) 07/18/ NOTICE of filing return of service by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo (Former Deputy Clerk) (Entered: 07/18/2005) 07/18/ RETURN OF SERVICE executed for Suntrust Bank, Inc. on 7/1/05 Answer due on 7/21/05 for Suntrust Bank, Inc. (mh, Deputy Clerk) (Entered: 07/19/2005) 07/18/ /18/ NOTICE of attorney appearance for Oliva Investment by Jeffrey Roger Sonn, Jeffrey F,rez (mh Deputy Clerk) (Entered: 07/19/2005) \( IREED MOTION by Suntrust Bank, Inc. to extend time to serve its response to first amended complaint (mh Deputy Clerk) (Entered: 07/19/2005) 54 JOINT MOTION/Request by Lehman Brothers, Merrill Lynch & Co., Raymond James Financial Services, HSBC Bank USA to extend time to respond to first amended complaint (Former Deputy Clerk) (Entered: 07/20/2005) 07/19/ \linutcs of hearing held before Magistratc Barry L. Garber on 7/19/05; Court Reporlcr Name or Tape ft: 05C (fit Deputy Clerk) (Entered: 07/20/2005) 07/19/ ORDER resetting 8/22/05 for Suntrust Bank, Inc. to serve its response to first amended complaint, granting [53-1] motion to extend time to serve its response to First amended complaint ( Signed by Judge K. M. Moore on 7/18/05) [EOD Date: 7/20/051 (hd, Deputy Clerk) (Entered: 07/20/2005)

19 07/19/ ORDER granting plaintiffs' motion for an extension of time to reply to HSBC Bank's response to plaintiffs' motion to retain special counsel. ( Signed by Judge K. M. Moore on 7/18/05) [EOD Date: 7/21/05] (1k, Deputy Clerk) (Entered: 07/21/2005) 07/20/200 RIPLY by Samuel Puterman etal to response to [41-fl motion to retain special counsel (mh, Deputy Clerk) (Entered: 07/21/2005) 07/20/ Minutes of motion hearing re allowance and payment of compensation held before Magistrate Barry L. Garber on 7/19/05; Court Reporter Name or Tape #: 05C (111k Deputy Clerk) (Entcred: 07/21/2005) 07/21/ ORDER granting [54-1] joint motion to extend time to respond to first amended complaint; response to amended complaint due August 1, 2005 (Signed by Judge K. M. Moore on 7/20/05) [EOD Date: 7/22/05] (mh, Deputy Clerk) (Entered: 07/22/2005) 07/29/ ORDER granting [45-1] motion to extend time for rsponse to first amended class action complaint (Signed by Judge K. M. Moore on 7/29/05) [EOD DaIc: 8/1/05] (mh, I )cputv Clerk) (Entered: 08/01/2005) 08/01/ /01/ /01/ /01/ /01/ /01/ /02/ /04/2005 :1 MOTION by Merrill Lynch & Co. to dismiss plaintiffs' complaint (tb, Deputy Clerk) (Entered: 08/02/2005) 63 MEMORANDUM by Merrill Lynch & Co. in support of [62-1] motion to dismiss plaintiffs' complaint (tb, Deputy Clerk) (Entered: 08/02/2005) c1 MOTION with memorandum in support by Raymond James Financ to dismiss the first amended class action complaint (fit Deputy Clerk) (Entered: 08/02/2005) 65 MOTION with memorandum in support by Lehman Brothers to dismiss first amended complaint (ra, Deputy Clerk) (Entered: 08/02/2005) 66 MOTION by HSBC Bank USA (Attorney Scott Allan Cole) to dismiss amended complaint (ra, Deputy Clerk) (Entered: 08/02/2005) 67 \ I I3MORANDUM by HSBC Bait USA in support of [66-1] motion to dismiss aiiicnded complaint (ra Deputy Clerk) (Enicred: 08/02/2005) 68 \IOTION by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo (Attorney ) to extend time to respond to certain defendants' joint motion for a case Status Conference, or, in the alternative for adoption of Defendants' proposed schedule (Former Deputy Clerk) (Entered: 08/03/2005) 69 NOTICE Regarding Joint Scheduling Report by Suntrust Bank, Inc. (mh, Deputy (-Irk) (Enicred: 08/05/2005) 08/05/ RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [48-1] motion for case status conference, [48-2] motion br adoption of defendant's proposed schedule (Former Deputy Clerk) (Entered: 08/08/2005) 08/05/ ORDER granting [68-1] motion to extend time to respond to certain defendants' joint motion for a case Status Conference; plaintiffs shall have up to and including August 4, 2005 to file response (Signed by Judge K. M. Moore on 8/5/05) [EOD Date: 8/9/05] (mh, Deputy Clerk) (Entered: 08/09/2005)

20 08/10/ ORDER REFERRING DISCOVERY MATTERS to Magistrate Judge Barry L. Ciarber (Signed by Judge K. M. Moore on 8/10/05) CC AP [EOD Date: 8/11/05] (mh, I )cputv Clerk) (Entered: 08/11/2005) 08/10/2005 ORDER referring case to mediation. 15 days to appoint mediator ( Signed by Judge K. M. Moore on 8/10/05) [EOD Date: 8/11/05] (mh, Deputy Clerk) (Entered: 08/11/2005) 08/10/ SCHEDULING ORDER Setting Pretrial Conference AM Trial Date setting Jury trial sct for 8/7/06; Calendar call set for 2:00 p.m. on 8/3/06 Pretrial conference for 9:00 7/25/06; (Signed by Judge K. M. Moore on 8/10/05) [EOD Date: 8/11/05] CCAP (mh, Deputy Clerk) (Entered: 08/11/2005) 08/12/ NOTICE OF RECEIVER'S Joinder In Class Plaintiffs Opposition To Certain Defendant's Request For A Discovery Stay (mh, Deputy Clerk) (Entered: 08/15/2005) 08/12/ \QREED MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA, Oliva Investment, Suntrust Bank, Inc. to extend time to file a reply in support of motion for case status conference (mh, Deputy Clerk) (Entered: 08/15/2005) 08/15/ \GREED MOTION by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo (Attorney Victor Manuel Diaz Jr.) to extend time to file icsponse to various motions to dismiss (mh Deputy Clerk) (Enicred: 08/16/2005) 08/17/ ORDER denying [48-1] motion for case status conferencc dcnying [48-2] motion for adoption of defendant's proposed schedule denying [76-1] motion to extend time to File a reply in support of motion for case status conference ( Signed by Judge K. M. Moore on 8/17/05) [EOD Date: 8/18/05] (mh, Deputy Clerk) (Entered: 08/18/2005) 08/17/ /19/ /22/ /22/ ORDER granting [77-1] motion to extend time to file response to various motions to dismiss Response to motion reset to 8/31/05 for [66-1] motion to dismiss amended complaint, reset to 8/31/05 for [65-1] motion to dismiss first amended complaint, reset to 8/31/05 for [64-1] motion to dismiss the first amended class action complaint, reset to 8/31/05 for [62-1] motion to dismiss plaintiffs' complaint ( Signed by Judge K. M. Moore on 8/17/05) [EOD Date: 8/18/05] (mh, Deputy Clerk) (Entered: 08/18/2005) 80 SUGGESTION/MOTION by HSBC Bank USA of referral to Magistrate Judge Barry L. Garber of plaintiffs' motion to retain special counsel (mh, Deputy Clerk) (Entered: O 22/2005) 81 UNOPPOSED MOTION by Suntrust Bank, Inc. to exceed page limit (mh, Deputy Clerk) (Entered: 08/23/2005) 82 MOTION with memorandum in support by Suntrust Bank, Inc. to dismiss class action complaint (mh, Deputy Clerk) (Entered: 08/23/2005) 08/22/2005 F,, RESPONSE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo to non-party motion for continuance of hearing date (1I\, Deputy Clerk) (Entered: 08/24/2005) 08/24/ ORDER granting [81-1] motion to exceed page limit (Signed by Judge K. M. Moore on 8/24/05) [EOD Date: 8/25/05] (mh, Deputy Clerk) (Entered: 08/25/2005)

21 08/29/ \GREED MOTION by Marcella Cordova, Jorge Flores, Henry lurman, Marcos \'lustieles, Katia Ocampo to c\lcnd time to respond to motion to dismiss (mh, Deputy Clerk) (Entered: 08/30/2005) ()8/30/200 \( )TICE of Filing by HSBC I aiik LISA (mh, Deputy Clerk) (Entered: 08/31/2005) 08/31/2005 RI SPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [66-1] motion to dismiss amended complaint (mh, Deputy Clerk) (Entered: 09/01/2005) 08/31/ RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [64-1] motion to dismiss the first amended class action complaint (mh, Deputy Clerk) (Entered: 09/01/2005) 08/31/ RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [65-fl motion to dismiss first amended complaint (mh, Deputy Clerk) (Entered: 09/01/2005) 08/31/ UNOPPOSED MOTION by Samuel Puterman etal to extend time to respond to defendant Oliva Investment Group, INC.s motion to dismiss (mh, Deputy Clerk) Intered: 09/01/2005) 08/31/ ORDER granting in part, [85-1] motion to extend time to respond to motion to dismiss Response to motion reset to 9/9/05 for [62-1] motion to dismiss plaintiffs' complaint( Signed by Judge K. M. Moore on 8/31/05) [EOD Date: 9/1/05] (mh, Deputy Clerk) ftlltcred: 09/01/2005) 09/02/ ORDER granting [90-1] motion to extend time to respond to defendant Oliva Investment Group, INC.s motion to dismiss Response to Oliva's motion to dismiss [motion not found] due by 9/30/05 ( Signed by Judge K. M. Moore on 9/1/05) [EOD Date: 9/6/05] (we, Deputy Clerk) (Entered: 09/06/2005) 09/06/ UNOPPOSED MOTION by Samuel Puterman, Marcella Cordova, Jorge Flores, E-Jcnry lurman, Marcos Mustieles, Katia Ocampo (Attorney ) extend time to respond to Defendant Suntrust Banks, Inc.'s motion to dismiss (Former Deputy Clerk) (Entered: 09/07/2005) 09/06/ CLASS PLAINTIFFS' RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [80-1] motion of referral to \4agistrate Judge Barry L. Garber of plaintiffs' motion to retain special counsel (mh, I )cputv Clerk) (Entered: 09/08/2005) 09/08/ NOPPOSED MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA to extend time for certain defendants to file reply memoranda in support of motion to dismiss (mh, Deputy Clerk) (Entered: 09/09/2005) 09/09/ OPPOSITION RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo in opposition to [65-1] motion to dismiss first amended complaint, [64-1] motion to dismiss the first amended class action complaint i"h, Deputy Clerk) (Entered: 09/12/2005) 09/12/ ORDER granting [93-1] motion for enlargement of time to repond to defendant's 'intion to dismiss ( Signed by Judge K. M. Moore on 09/09/05) [EOD Date: 9/13/05] I)s, Deputy Clerk) (Entered: 09/13/2005)

22 09/12/ ORDER granting [95-1] motion to extend time for certain defendants to file reply nicmoranda in support of motion to dismiss ( Signed by Judge K. M. Moore on 09/09/05) [EOD Date: 9/13/05] (bs, Deputy Clerk) (Entered: 09/13/2005) 09/13/200 NOTICE of Change of Address of attorney by Merrill Lynch & Co. (mh, Deputy Clerk) (Entered: 09/14/2005) 09/21/ UNOPPOSED MOTION by Samuel Puterman (Attorney) to extend time to respond to defendant Suntrust Banks, Inc's motion to dismiss (mh, Deputy Clerk) (Entered: 0 1) '21/2005) 09/22/ ORDER granting [100-1] motion to extend time to respond to defendant Suntrust Banks, Inc's motion to dismiss Response to motion reset to 9/26/05 for [82-1] motion to dismiss class action complaint ( Signed by Judge K. M. Moore on 9/22/05) [EOD Date: 9/23/05] (mh, Deputy Clerk) (Entered: 09/23/2005) 09/26/ /26/ NOPPOSED MOTION by Samuel Puterman to exceed page limit (mh, Deputy (-Irk) (Enicred: 09/26/2005) R [S N )\ si: by Marcella Cordova, Jorge Flores in opposition to [82-1] motion to dismiss class action complaint (mh Deputy Clerk) (Entered: 09/27/2005) 104 MOTION by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo (Attorney ) to extend time to respond to Defendant Oliva Investment Group, Inc.'s motion to dismiss (Former Deputy Clerk) (Entered: 10'03/2005) 09/30/ /30/ /30/ /30/ /30/ /30/ /30/ NOPPOSED MOTION by Lehman Brothers (Attorney) for leave to exceed page Iiiiiit (Former Deputy Clerk) (Entered: 10/03/2005) 106 RI PLY by Lehman Brothers to response to [65-1] motion to dismiss first amended complaint (Former Deputy Clerk) (Entered: 10/03/2005) 107 REPLY by HSBC Bank USA to response to [66-1] motion to dismiss amended complaint (mh Deputy Clerk) (Entered: 10/03/2005) RI :PT Y by Raymond James Financ to response to [64-1] motion to dismiss the first aiiiciidcd class action complaint (mh, Deputy Clerk) (Entered: 10/03/2005) 109 RiPLY by Merrill Lynch & Co. to response to [62-1] motion to dismiss plaintiffs' complaint (mh, Deputy Clerk) (Entered: 10/03/2005) 110 UNOPPOSED MOTION by Suntrust Bank, Inc. to extend time to reply to plaintiffs opposition to motion to dismiss (mh, Deputy Clerk) (Entered: 10/03/2005) ORDER granting [102-1] motion to exceed page limit (Signed by Judge K. M. Moore on 9/29/05) [EOD Date: 10/3/05] (mh Deputy Clerk) (Entered: 10/03/2005) 10/04/ /04/ NOTICE of Change of Address of attorney by Merrill Lynch & Co. (mh, Deputy (-Irk) (Entered: 10/05/2005) ORDER granting [105-1] motion for leave to exceed page limit (Signed by Judge K. \l. Moore on 10/4/05) [EOD Date: ] (mh, Deputy Clerk) (Entered: 10/05/2005)

23 10/04/ ORDER granting [104-1] motion to extend time to respond to Defendant Oliva Investment Group, Inc.'s motion to dismiss Response to motion due 10/7/05 (Signed by Judge K. M. Moore on 10/4/05) [EOD Date: ] (mh, Deputy Clerk) (Entered: 10/05/2005) 10/04/ ORDER granting [110-1] motion to extend time to reply to plaintiffs opposition to motion to dismiss; response to motion due October 6, 2005 (Signed by Judge K. M. \loore on 10/4/05) [EOD Daic: ] (mh- Deputy Clerk) (Enicred: 10/05/2005) 10/06/ ORDER granting [110-1] motion to c\tclld time to reply to plaintiffs opposition to motion to dismiss Reply to Response to Motion reset to 10/14/05 for [82-1] motion to dismiss class action complaint ( Signed by Judge K. M. Moore on 10/06/05) [EOD Date: 10/7/05] (bb, Deputy Clerk) (Entered: 10/07/2005) 10/07/ MOTION by Samuel Puterman etal to amend by Interlineation, and to abate briefing on 010's motion to dismiss (mh, Deputy Clerk) Modified on 10/11/2005 (Enicred: 1011/2005) 10/07/ MENDMENT BY INTERLINEATION by Samuel Puterman etal, (Answer due 10/17/05 for Suntrust Bank, Inc., for Oliva Investment, for HSBC USA, for Raymond James Financ, for Merrill Lynch & Co., for Lehman Brothers ) amending [38-11 amended complaint (mh, Deputy Clerk) (Entered: 10/11/2005) 10/12/ ORDER granting [41-1] motion to retain special counsel denying [80-1] motion of referral to Magistrate Judge Barry L. Garber of plaintiffs' motion to retain special counsel ( Signed by Judge K. M. Moore on 10/12/05) [EOD Date: 10/13/05] (mh, Deputy Clerk) (Entered: 10/13/2005) 10/14/ /14/ /14/ NOTICE of Filing Initial Disclosures Under Fed. R.Civ.P. (26(a) by Raymond James Financ (mh, Deputy Clerk) (Entered: 10/17/2005) UNOPPPOSEDMOTION by Suntrust Bank, Inc. (Attorney )for lca\ c to file to c\cccd page limit (mh Deputy Clerk) (Entered: 10/17/2005) 122 NOTICE of Initial Disclosures Pursuant To Federal Rules Of Civil Procedure 26 by Suntrust Bank, Inc. (mh, Deputy Clerk) (Entered: 10/17/2005) 10/14/ REPLY by Suntrust Bank, Inc. to response to [82-1] motion to dismiss class action complaint (mh, Deputy Clerk) (Entered: 10/17/2005) 10/18/ ORDER granting [121-1] motion for leave to file to exceed page limit( Signed by Judge K. M. Moore on 10/18/05) [EOD Date: 10/19/05] (bb, Deputy Clerk) (Enicred: 1019/2005) 10/31/ ORDER granting [117-1] motion to amend by Interlineation, granting [117-2] motion to abate briefing on 010's motion to dismiss ( Signed by Judge K. M. Moore on 10/31/05) [EOD Date: 11/2/05] (tb, Deputy Clerk) (Entered: 11/02/2005) 10/31/ NOTICE of Change of Address of attorney by Merrill Lynch & Co. (sk, Deputy Clerk) Iitcred: 11/03/2005) 11/03/2005 C7 ORDER granting [13-1] motion for David H. Kistenbroker to appear pro hac vice ( Signed by Judge K. M. Moore on 11/2/05) [EOD Date: 11/8/05] (dg, Deputy Clerk) (Entered: 11/08/2005)

24 11/09/ NOTICE of Change of Address of Attorney by Oliva Investment (bb, Deputy Clerk) (Entered: 11/14/2005) 11/17/2005 \( )TICE of Change of Address of Attorney by Samuel Puterman (nt, Deputy Clerk) Intered: 11/21/2005) 11/18/ NOPPOSED MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA, Suntrust Bank, Inc. for a two week extension of time to respond to discovery (nt, Deputy Clerk) (Entered: 11/22/2005) 11/21/2005 \GREED MOTION by Oliva Investment to extend time to file responses to plaintiffs icquest for production and interrogatories (bs Deputy Clerk) (Entered: 11/23/2005) 11/22/ JOINT MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, E-ISBC Bank USA, Oliva Investment, Suntrust Bank, Inc. to stay merits discovery pending resolution of motions to dismiss (we, Deputy Clerk) (Entered: 11/22/2005) 11/28/ ORDER granting [132-1] motion to extend time to file responses to plaintiffs request br production and interrogatories; response due 12/16/05 (Signed by Judge K. M. Moore on 11/28/05) [EOD Date: 11/30/05] (mh, Deputy Clerk) (Entered: 11/30/2005) 11/28/2005 ORDER granting [130-1] motion for a two week extension of time to respond to discovery; response due 12/5/05 (Signed by Judge K. M. Moore on 11/28/05) [EOD Date: 11/30/05] (mh, Deputy Clerk) (Entered: 11/30/2005) 11/30/ ORDER striking [96-1] opposition response, striking [89-1] opposition response, striking [88-1] opposition response, striking [87-1] opposition response (Signed by Judge K. M. Moore on 11/30/05) [EOD Date: 12/1/05] (mh, Deputy Clerk) (Entered: 12/01/2005) 12/02/ \ lotion with memorandum in support by Instituto Prevision (Attorney ) to consolidate cases with 05-cv Moore (1k, Deputy Clerk) (Entered: 12/02/2005) 12/05/ UNOPPOSED MOTION by Merrill Lynch & Co. for four day enlargement of time to respond to plaintiffs discovery (mit Deputy Clerk) (Entered: 12/06/2005) 12/05/2005 ii; 12/07/ RESPONSE by Samuel PuLiman ial in opposition to [131-1] joint motion to stay merits discovery pending resolution of motions to dismiss (mh, Deputy Clerk) Modified on 12/06/2005 (Entered: 12/06/2005) ORDER granting [137-1] motion for four day enlargement of time to respond to plaintiffs discovery; response to discovery due 12/9/05 (Signed by Judge K. M. Moore on 12/6/05) [EOD Date: 12/8/051 (mit Deputy Clerk) (Entered: 12/08/2005) 12/07/ NOTICE of Filing Micnded Responses In Opposition To Defcndant's Motions To Dismiss by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos \'lustieles, Katia Ocampo, Instituto Prevision (mh, Deputy Clerk) (Entered: 12/08/2005) 12/07/ MENDMED RESPONSE IN OPPOSITION by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Pi vision to: [89-1] opposition response (mh Deputy Clerk) (Entered: 12/08/2005) 12/07/ AMENDMED RESPONSE IN OPPOSITION by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto

25 Prevision to: [89-1] opposition response (mh, Deputy Clerk) Modified on 12/08/2005 (Entered: 12/08/2005) 12/07/ /07/ \MENDMED RESPONSE IN OPPOSITION by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to: [87-1] opposition response (mh, Deputy Clerk) (Entered: 12/08/2005) VMENDMED RESPONSE IN OPPOSITION by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Pixvision to: [88-1] opposition response (mh Deputy Clerk) (Entcred: 12/08/2005) 12/12/ RESPONSE by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo to [136-1] motion to consolidate cases with 05-cv Moore (mh, Deputy Clerk) (Entered: 12/13/2005) 12/14/ /15/ /15/ REPLY To Plaintiffs' Amended Opposition To Motion To Dismiss by Merrill Lynch & Co. (mh, Deputy Clerk) (Entered: 12/15/2005) 147 AMENDED REPLY Memorandum In Response by HSBC Bank USA to [107-1] response reply (nt, Deputy Clerk) (Entered: 12/16/2005) 4c RI PLY Memorandum In Support by Lehman Brothers to response to [131-1] joint motion to stay merits discovery pending resolution of motions to dismiss (mh, Deputy Clerk) (Entered: 12/16/2005) 12/16/ REVISED Reply Memorandum In Support Of Its Motion To Dismiss by Raymond lames Financ to [108-1] response reply (mh, Deputy Clerk) (Entered: 12/19/2005) 12/16/ \0 REED MOTION by Oliva Investment to extend time to file response to plaintiffs l:irst amended class action complaint, as amended via interlineation (mh, Deputy Clerk) (Entered: 12/19/2005) 12/16/ UNOPPOSED MOTION by Lehman Brothers (Attorney) for leave to exceed page limit (Former Deputy Clerk) (Entered: 12/19/2005) 12/16/ REPLY MEMORANDUM by Lehman Brothers in support of [65-1] motion to dismiss first amended complaint (Former Deputy Clerk) (Entcred: 12/19/2005) 12/19/ J VJREED MOTION by Lehman Brothers (Attorney ) for enlargement of time to file its response and opposition to Plaintiffs' motion to consolidate (Former Deputy Clerk) (Entered: 12/19/2005) 12/19/ RESPONSE by Merrill Lynch & Co. in opposition to [136-1] motion to consolidate cases with 05-cv Moore (mh, Deputy Clerk) (Entered: 12/20/2005) 12/19/ ORDER granting [150-1] motion to extend time to file response to plaintiffs first amended class action complaint, as amended via interlineation; response to amended complaint due 12/30/05 (Signed by Judge K. M. Moore on 12/19/05) [EOD Date: 12/21/05] (mh, Deputy Clerk) (Entered: 12/21/2005) 12/19/ ORDER denying [131-1] joint motion to stay merits discovery pending resolution of 'intions to dismiss (Signed by Judge K. M. Moore on 12/19/05) [EOD Date: 12/21/05] miik Deputy Clerk) (Entcred: 12/21/2005) 12/21/200 ()RI)IR n anting [151-11notion for leave to exccd page limit (Signed by Judge K.

26 M. Moore on 12/21/05) [EOD Date: 12/22/05] (mh, Deputy Clerk) (Entered: 12 '22/2005) 12/21/2005 RISPONSE by Lehman Brothers in opposition to [136-fl motion to consolidate cases ith 05-cv Moore (Former Deputy Clerk) (Entered: 12/22/2005) 12/27/ NOTICE of adoption/joinder of [158-1] opposition response, [154-1] opposition response by Raymond James Financ, HSBC Bank USA, Suntrust Bank, Inc. (tb, Deputy Clerk) (Entered: 12/29/2005) 12/28/ NOTICE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to take deposition of Lehman Brothers 2/17/06 at 10:00 (tb, Deputy Clerk) (Entered: 12/29/2005) 12/28/ NOTICE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to take videotape deposition of Raymond James 2/16/06 at 10:00 (tb, Deputy Clerk) (Entered: 12/29/2005) 12/28/ NOTICE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to take deposition of HSBC I ank, USA 2/20/06 at 10:00 (tb, Deputy Clerk) (Entered: 12/29/2005) 12/28/ REPLY by Instituto Prevision to response to [136-1] motion to consolidate cases with 05-cv Moore (bs, Deputy Clerk) (Entered: 12/29/2005) 12/29/ NOTICE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to take videotapped deposition or Merrill Lynch 2/21/06 at 10:00 (tit Deputy Clerk) (Entered: 12/30/2005) 12/29/ NOTICE by Samuel Puterman, Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, Instituto Prevision to take videotaped deposition of Sun Trust Banks 2/22/06 at 10:00 (tb, Deputy Clerk) (Entered: 12/30/2005) 12/30/ MOTION by Oliva Investment to dismiss plaintiffs first amended class action complaint as subsequently amended via interlineation (ra, Deputy Clerk) (Entered: 01 05/2006) 01/17/ /17/ ORDER granting [136-1] motion to consolidate cases with 05-cv Moore; Case No CV-KMM and Case No CV-KMM are consolidated for the purposes of discovery only (Signed by Judge K. M. Moore on 1/17/06) [EOD Date: 1/19/06] (mh, Deputy Clerk) (Entered: 01/19/2006) 168 ORDER granting in part [62-1] motion to dismiss plaintiffs' complaint, granting in part [64-1] motion to dismiss the first amended class action complaint, granting in part motion to dismiss first amended complaint, granting in part [66-1] motion to dismiss amended complaint, granting in part [82-1] motion to dismiss class action complaint, dismissing [118-1] amended complaint (Signed by Judge K. M. Moore on 1 17/06) [EOD Datc: 1/19/06] (bit Deputy Clerk) (Entcred: 01/19/2006) 01/23/ ORDER denying as moot [166-1] motion to dismiss plaintiffs first amciided class action complaint as subsequently amended via interlineation ( Signed by Judge K. M. Moore on 1/23/06) [EOD Date: 1/24/06] (bb, Deputy Clerk) (Entered: 01/24/2006) 01/25/ Objections To Plaintiffs' Notice Of Taking The Videotaped Deposition Of Raymond

27 James' 30(b)(6) Representatives by Raymond James Financ in opposition to (mh, Deputy Clerk) (Entered: 01/26/2006) 01/31/200o 01/31/2006! /01/2006 JOINT MOTION with memorandum in support by Lehman Brothers etal to stay iicrits discovery (mh, Deputy Clerk) (Entered: 02/03/2006) V \RTIALLY AGREED MOTION by Marcella Cordova, Jorge Flores, Henry luiman, \ larcos Mustieles, Katia Ocampo, Instituto Prevision to extend time to file second amended complaint (mh, Deputy Clerk) Modified on 02/03/2006 (Entered: ) \IOTION by Merrill Lynch & Co. for Ellen B. Cohen to appear pro hac vice $75 fee paid (mh, Deputy Clerk) (Entered: 02/03/2006) 02/01/ /02/ CLERK'S RECEIPT for Ellen B. Cohen to appear pro hac vice paid by Merrill Lynch & Co. AMOUNT: $75 RECEIPT, # (mh, Deputy Clerk) (Entered: 02/03/2006) MOTION by Lehman Brothers for A.C. Brooke Clagett to appear pro hac vice $75 fee paid (mh, Deputy Clerk) (Entered: 02/03/2006) 02/02/ CLERK'S RECEIPT for: A.C. Brookc Clagctt to appear pro hac vicc paid by Lehman Brothers. AMOUNT: $75 RECEIPT # (mh, Deputy Clerk) (Entered: 02/03/2006) 02/02/ ORDER granting [174-1] motion to extend time to file second amended complaint; econd amended complaint due 2/7/06 (Signed by Judge K. M. Moore on 2/2/06) I I0D Date: 2/3/061 (mh, Deputy Clerk) (Entered: 02/03/2006) 02/02/2006 Th \()I I(- E of Disco\ cry Calciidar Hcaring by Raymond James Financ (mh, Deput\ (-Irk) (Entered: 02/03/2006) 02/03/ MOTION with memorandum in support by Marcela Cordova etal to compel initial disclosures and production of privilege logs (mh, Deputy Clerk) Modified on 02/13/2006 (Entered: 02/06/2006) 02/03/ ORDER granting [172-1] motion for A.C. Brooke Clagett to appear pro hac vice Signed by Judge K. M. Moore on [EOD Date: 2/7/06] (mh, Deputy Clerk) (Enicred: 0-`07/2006) 02/07/ S I COND MOTION by Samuel Puterman to extend time to file second amended complaint (mh, Deputy Clerk) (Entered: 02/08/2006) 02/09/ ORDER granting [179-1] motion to extend time to file second amended complaint; second amended complaint due 2/13/06 (Signed by Judge K. M. Moore on 2/8/06) I IOD Daic: 2/10/061 (mh Deputy Clerk) (Entcred: 02/10/2006) 02/09/ ORDER granting [171-1] motion for Ellen B. Cohen to appear pro hac vice (Signed b Judge K. M. Moore on 2/8/06) [EOD Date: 2/10/06] (mh, Deputy Clerk) (Entered: 02/10/2006) 02/10/ Minutes of Motion Hearing re; Protective Order held before Magistrate Barry L. Garber on 2/10/06; Court Tape #: 06C (mh, Deputy Clerk) (Entered: 02/13/2006) 02/10/2006 \( )TICE OF WITHDRAWAL by Marcella Cordova Jorge Flores Henry Turman-

28 Marcos Mustieles, Katia Ocampo of [177-1] motion to compel initial disclosures and production of privilege logs (mit Deputy Clerk) (Entered: 02/13/2006) 02/10/2000 RI QUEST/MOTION to be included on service list (mh, Deputy Clerk) (Entered: 0213/2006) 02/10/ ORDER rescheduling deposition to March 24, 2006 at 10:00 a.m. (Signed by Magistrate Barry L. Garber on 2/10/06) [EOD Date: 2/13/06] (mh, Deputy Clerk) Modified on 02/13/2006 (Entered: 02/13/2006) 02/10/ ORDER Reset Jury trial for 10/16/06, Reset pretrial conference for 9:00 a.m. on 10/3/06, Reset calendar call for 10/12/06 before Judge K. M. Moore (Signed by Judge K. Moore on 2/10/06) [EOD Date: 2/13/06] (mh, Deputy Clerk) Modified on 02/13/2006 (Entered: 02/13/2006) 02/10/ CONSOLIDATION ORDER; Case No CV-MOORE is consolidated with Case No CV-MOORE and Case No CV-MOORE for the purposes of discovery only (Sigiicd by Judge K. M. Moore on 2/10/06) [EOD Daic: 13/06] (mh, Deputy Clerk) (Entered: 02/13/2006) 02/13/ ORDER NUNC PRO TUNC granting [153-1] motion for enlargement of time to file its response and opposition to Plaintiffs' motion to consolidate (Signed by Judge K. M. Moore on 2/13/06) [EOD Date: 2/14/06] (mh, Deputy Clerk) (Entered: 02/14/2006) 02/13/ SECOND AMENDED COMPLAINT by Marcella Cordova, Jorge Flores, Henry lurman, Marcos Mustieles, Katia Ocampo, (Answer due 2/23/06 for Suntrust Bank, Inc., for Oliva Investment, for HSBC Bank USA, for Raymond James Financ, for Merrill Lynch & Co., for Lehman Brothers ) amending [1-1] complaint (mh, Deputy Clerk) (Entered: 02/14/2006) 02/15/ NOTICE of Mootness Of Defendants' Joint Motion To Stay by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA, Oliva In cstmcnt, Suntrust Bank Inc. (mit Deputy Clerk) (Entered: 02/16/2006) 02/21/ MOTION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA, Oliva Investment, Suntrust Bank, Inc. to extend time to respond to second amended complaint (mh, Deputy Clerk) (Entered: 02/21/2006) 02/21/ SUMMONS(ES) issued for Luis M. Cornide (we, Deputy Clerk) (Entered: 02/23/2006) 02/21/2006 h St J\4MONS(ES) issued for Robert de la Riva(wc, Deputy Clerk) (Entcred: ) 02/22/ ORDER denying as moot [173-1] motion to stay merits discovery ( Signed by Judge K. M. Moore on 2/22/06) [EOD Date: 2/23/06] (bb, Deputy Clerk) (Entered: 02/23/2006) 02/22/ /22/ /22/ REQUEST for Production of Documents To Marcela Cordova by OhN a Investment nih Deputy Clerk) (Entcred: 02/23/2006) FIRST REQUEST for Production of Documents To Marcos Mustieles by Oliva Investment (mh, Deputy Clerk) (Entered: 02/23/2006) RLQUEST for Production of Documents To Henry lurman by Oliva Investment (mit

29 Deputy Clerk) (Entered: 02/23/2006) 02/22/ /23/2006 ii 02/28/ FIRST REQUEST for Production of Documents To Katia Ocampo by Oliva Investment (mh Deputy Clerk) (Entered: 02/23/2006) ORDER granting [191-1] motion to extend time to respond to second amended complaint; response due by 3/23/06 (Signed by Judge K. M. Moore on 2/23/06) [EOD Date: 2/27/06] (mh, Deputy Clerk) (Entered: 02/27/2006) NOTICE of Unai ailability by Lehman Brothers for dates of March 8-10, 2006, and March 6-10, 2006 respectively (mh, Deputy Clerk) (Entered: 03/01/2006) 03/01/2006 \IOTION with nicniorandum in support by Samucl Pulcrman etal for dircction re the Future course of consolidated discovery (mh Deputy Clerk) (Entered: 03/02/2006) 03/06/2006 RETURN OF SERVICE executed for Luis M. Cornide on 3/1/06 Answer due on 3/21/06 for Luis M. Cornide (mh, Deputy Clerk) (Entered: 03/07/2006) 03/14/ REQUEST/MOTION by Eduardo A. Coloma for service of papers (mh, Deputy Clerk) (Entered: 03/14/2006) 03/14/ MOTION with memorandum in support by Raymond James Financ for leave to file motion to dismiss and memorandum of law in excess of 20 pages (mh, Deputy Clerk) (Entered: 03/15/2006) 03/15/ NOPPOSED MOTION by HSBC Bank USA for leave to exceed page limitation (mh, Deputy Clerk) (Entered: 03/16/2006) 03/16/ UNOPPOSED MOTION by Suntrust Bank, Inc. for leave to file exceed page limit (mh, Deputy Clerk) (Entered: 03/17/2006) 03/16/ \GREED MOTION by Lehman Brothers for leave to exceed page limit (mh, Deputy (-Irk) (Entered: 03/17/2006) 03/17/ \linutes of Discovery Matters held before Magistrate Barry L. Garber on 3/17/06; Court Reporter Name or Tape #: 06C (bb, Deputy Clerk) (Entered: 03/20/2006) 03/17/ /20/ FINALCIAL INSTITUTION DEFENDANTS' JOINT RESPONSE by Suntrust Bank, Inc. - Oliva Investment, Merrill Lynch & Co., Raymond James Financ, HSBC Bank I 4A to motion for direction re the future course of consolidated discovery (mh, I )cputy Clerk) (Entered: 03/20/2006) i10 MOTION by Merrill Lynch & Co. for leave to exceed page limit (mh, Deputy Clerk) (Entered: 03/21/2006) 03/20/ ORDER granting [204-1] motion for leave to file motion to dismiss and memorandum ol law in c\ccss of 20 pages (Signed by Judge K. M. Moore on 3/20/06) [EOD Daic: A 21/06] (mh Deputy Clerk) (Entered: 03/21/2006) 03/20/ L ORDER granting [206-1] motion for leave to file exceed page limit (Signed by Judge K. M. Moore on 3/20/06) [EOD Date: 3/21/06] (mh, Deputy Clerk) (Entered: 03/21/2006) 03/20/ ORDER granting [207-1] motion for leave to exceed page limit (Signed by Judge K.

30 M. Moore on 3/20/06) [EOD Date: 3/21/06] (mh, Deputy Clerk) (Entered: o3 121/2006) 03/21/ /21/2006 ORDER granting [205-1] motion for leave to exccd page limitation ( Signed by Judge K. M. Moore on 3/20/06) [EOD Date: 3/21/06] (mh, Deputy Clerk) (Entered: 03/21/2006) ORDER granting [210-1] motion for leave to exccd page limit (Signed by Judge K. M. Moore on 3/21/06) [EOD Date: 3/22/06] (mh, Deputy Clerk) (Entered: 0322/2006) 03/21/ RI TURN OF SERVICE executed for Robert de la Riva on 3/15/06 Answer due on 4 4/06 for Robert de la Riva (mh, Deputy Clerk) (Entered: 03/22/2006) 03/23/ /23/ /23/ /23/20O 03/23/ /23/ \IOTION with memorandum in support by Raymond James Financ to dismiss second amended class action complaint (mh, Deputy Clerk) (Entered: 03/24/2006) Th MOTION with memorandum in support by Suntrust Bank, Inc. to dismiss second amended class action complaint (mh, Deputy Clerk) (Entered: 03/24/2006) \IOTION by HSBC Bank USA to dismiss sccond wiicnded complaint(mh, Deputy (-Irk) (Entered: 03/27/2006) \I OTION with memorandum in support by Merrill Lynch & Co. to dismiss second amended complaint (mh, Deputy Clerk) (Entered: 03/27/2006) 221 MOTION with memorandum in support by Lehman Brothers to dismiss second amended class action complaint (mh, Deputy Clerk) (Entered: 03/27/2006) 222 MOTION with memorandum in support by HSBC Bank USA to dismiss second amended complaint (mh, Deputy Clerk) (Entered: 03/27/2006) 03/27/2006 2T3 \ lotion by Katia Ocampo, Marcos Mustieles, Henry lurman, Jorge Flores, Marcella Cordova to extend time to reply to defendants' response to motion for direction (mh, Deputy Clerk) (Entered: 03/28/2006) 03/27/ UNOPPOSED MOTION by Oliva Investment for leave to exceed page limit (mh, Deputy Clerk) (Entered: 03/28/2006) 03/27/2006 Th MOTION with memorandum in support by Oliva Investn'cnt to dismiss sccond amended class action complaint (mh Deputy Clerk) (Entered: 03/28/2006) 03/28/ /28/ /29/ /29/ \MENDED MOTION by Katia Ocampo, Marcos Mustieles, Henry lurman, Jorge Flores, Marcella Cordova referring to [223-1] motion to extend time to reply to defendants' response to motion for direction (mh, Deputy Clerk) (Entered: 03/28/2006 \IOTION by HSBC Bank USA for Joni S. Jacobsen to appear pro hac vice (mh, I )cputv Clerk) (Enicred: 03/29/2006) ORDER granting [227-1] motion for Joni S. Jacobscii to appear pro hac vicc (Signed by Judge K. M. Moore on 3/29/06) [EOD Date: 3/31/06] (mh, Deputy Clerk) (Entered: 03/31/2006) ORDER granting [225-1] motion for leave to exceed page limit (Signed by Judge K. M. Moore on 3/29/06) [EOD Date: 3/31/06] (mh, Deputy Clerk) (Entered:

31 (33/31/2006) 03/31/ ORDER denying [227-1] motion for Joni S. Jacobsen to appear pro hac vice and may be resubmitted in compliance with the Local Rules (Signed by Magistrate Barry L. Garber on 03/31/06) [EOD Date: 4/4/06] (bs, Deputy Clerk) (Entered: 04/04/2006) 04/03/ /05/ /06/ RI PLY by Samuel Puterman to response to [201-1] motion for direction re the future course of consolidated discovery (1k, Deputy Clerk) (Entered: 04/04/2006) 22 ORDER vacating [230-1] order( Signed by Magistrate Barry L. Garber on 4/04/06) FEOD Date: 4/6/061 (bb, Deputy Clerk) (Entered: 04/06/2006) I NOPPOSED MOTION by Katia Ocampo, Marcos Mustieles, Hciiry lurman, Jorge Flores, Marcella Cordova to extend time to file responses to Defendants' motions to dismiss (bb, Deputy Clerk) (Entered: 04/06/2006) 04/10/ ORDER granting [233-1] motion to extend time to file responses to Defendants' motions to dismiss Response to motion reset to 5/15/06 for [226-1] motion to dismiss second amended class action complaint ( Signed by Judge K. M. Moore on 4/10/06) FEOD Date: 4/11/061 (mh, Deputy Clerk) (Entered: 04/11/2006) 04/24/ I 'FIDAVIT/DECLARATION OF TUCKER RONZETTI by Marcella Cordova, Katia Ocampo, Marcos Mustieles, Henry lurman, Jorge Flores Re: motion for appointment as lead plaintiffs and approval of selection of counsel (document(s) not attached/found on docket) (sk, Deputy Clerk) (Entered: 04/26/2006) 04/24/ MOTION with memorandum in support by Rafael E. Zenini, Saro Zenini, Nunziatina Zenini, Cesar Aguirre Urbaneja, Renato Acuna Lawrence, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo Araoz, Martha Landivar Gantier, Fabio Moreno Charme, Enrique Loeser Bravo, Marta Aurora Marzano, Carlos Herman Garcia (Attorney Victor Manuel Diaz Jr., Harley Shepard Tropin) to be appointed lead plaintiffs, and for the appron al of their selcction of lcad counsel (nt, Deputy Clerk) Entered: 04/26/2006) 04/28/ NOTICE of filing amended motion to be appointed lead plaintiffs, etc. by Cesar \guirre Urbaneja, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo \saoz, Martha Gantier, Fabio Moreno Charme, Enrique Loeser Bravo, Marta Aurora Marzano (dg, Deputy Clerk) (Entered: 05/01/2006) 05/01/ NOTICE of filing executed signature pages attached to the amended motion to be appointed lead plaintiffs and for the approval of their selection of lead counsel and incorporated memorandum of points and authorities in support by Cesar Aguirre Urbaneja, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo Araoz, Martha LandiN ar Gantier, Fabio Moreno Charme, Enrique Loeser Bravo, Marta \urora Marzano (bit Deputy Clerk) (Entcred: 05/03/2006) 05/11/ \IOTION by Instituto Prevision, Katia Ocampo, Marcos Mustieles, Henry lurman, Jorge Flores, Marcella Cordova, Samuel Puterman to extend time in which to file an amended complaint, and to stay the current briefing schedule (bb, Deputy Clerk) (Entered: 05/12/2006) 05/19/ JOINT RESPONSE by Suntrust Bank, Inc., Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA in opposition to [239-1] motion to c\tcnd time in which to file an amended complaint [239-2] motion to stay the current briefing

32 schedule (mh, Deputy Clerk) (Entered: 05/22/2006) 05/22/2006 MOTION by Instituto Prevision etal for leave to file amended class action complaint mh Deputy Clerk) (Entered: 05/23/2006) 05/22/200u 142 third AMENDED CLASS ACTION COMPLAINT, (Answer due 6/1/06 for HSBC Bank USA, for Raymond James Financ, for Merrill Lynch & Co., for Lehman Brothers, for Oliva Investment, for Suntrust Bank, Inc., for Robert de la Riva, for Luis M. Cornide) [1-fl complaint adding Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna Fernando Que' edo, Enriquc Loeser Bravo, Landivar Gantier Fabio Eduardo Charme (mh Deputy Clerk) (Entered: 05/23/2006) 05/25/ RESPONSE by Merrill Lynch & Co. to Plaintiff IPM's motion for clarification and/or modification of consolidation of discovery order (mh, Deputy Clerk) (Entered: 05/26/2006) 05/25/ /25/ /01/ /02/ Notice of filing Certification of class representatives by Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna, Fernando Quevedo, Enrique Loeser Bravo, Landivar Gantier, Fabio Eduardo Moreno Charme (sk, Deputy Clerk) (Entered: 05/30/2006) 245 Transcript filed re: Motion Hearing held 3/17/06 before Judge Barry L. Garber Pages: 1-24 (hh, Deputy Clerk) (Entered: 06/02/2006).I& MOTION by Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna, Fernando Quevedo, Enrique Loeser Bravo, Landivar Gantier, Fabio Eduardo Moreno Charme to intervene for the limited purpose of participating in the hearing before Magistrate Judge Garber on 6/6/06 and any other hearings, briefings or other proceedings pertaining to receiver property motion (rb, Deputy Clerk) (Entered: 06/05/2006) 248 MOTION by Ccsar Aguirre Urbaneja to substitutc Julio Ledesma as Lead Plainitff (rb Dcputv Clerk) (Entered: 06/06/2006) 06/05/ /05/ RESPONSE by Oliva Investment in opposition to [241-1] motion for leave to file amended class action complaint (bs, Deputy Clerk) (Entered: 06/06/2006) OPPOSITION by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, Oliva Investment, Suntrust Bank, Inc., HSBC Bank USA to amended motion to be appoinicd Lad plaintiff(ss Deputy Clerk) (Enicred: 06/07/2006) 06/12/ 'grd MOTION by LJiman Brothers, Merrill Lynch & Co., Raymond Janis Financ Oliva Investment, Suntrust Bank, Inc., HSBC Bank USA to extend time to respond to class plaintiffs' motion for leave to file amended class action complaint (gz, Deputy Clerk) (Entered: 06/14/2006) 06/13/ MOTION by Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna, Fernando Quevedo, Enrique Loeser Bravo, Landivar Gantier, Fabio Eduardo Moreno Charme to extend time to submit reply in support of the amended motion to bc appointed lead plaintiffs (bs, Deputy Clerk) (Entered: 06/14/2006) 06/15/2006 i52 ORDER granting [250-1] motion to extend time to submit reply in support of the amended motion to be appointed lead plaintiffs, granting [251-1] motion to extend time to respond to class plaintiffs' motion for leave to file amended class action

33 complaint ( Signed by Judge K. M. Moore on 06/14/06) [EOD Date: 6/16/06] (bs, Deputy Clerk) (Entered: 06/16/2006) 06/19/ RESPONSE by Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, E-ISBC Bank USA, Suntrust Bank, Inc., Oliva Investment to [241-fl motion for leave to file amended class action complaint (bs, Deputy Clerk) (Entered: 06/20/2006) 06/22/ REPLY by Cesar Aguirre Urbaneja, Renato Acuna Lawrence, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo Araoz, Martha Landivar Gantier, Fabio Moreno Charme, Enrique Loeser Bravo, Marta Aurora Marzano, Carlos Herman Garcia to response to [236-1] motion to be appointed lead plaintiffs (bs, Deputy Clerk) (Entered: 06/23/2006) 06/22/ NOTICE of filing certifications by Cesar Aguirre Urbaneja, Renato Acuna Lawrence, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo Araoz, Martha Landivar Gantier, Fabio Morciio Charmc Enriqiic Loeser Bravo, Marta Aurora \I arzann Carlos Herman Garcia (bs Deputy Clerk) (Entered: 06/23/2006) 06/22/ : NOTICE of filing origial certification by Cesar Aguirre Urbaneja, Renato Acuna Lawrence, Malliya Salaza Lara, Marta Soto Perez, Fernando M. Quevedo Araoz, Martha Landivar Gantier, Fabio Moreno Charme, Loeser Bravo, Marta Aurora Marzano, Carlos Herman Garcia (bs, Deputy Clerk) (Entered: 06/23/2006) 06/27/ MOTION by Merrill Lynch & Co. (Attorncv Terry R. Weiss) for Terry R. Weiss to appear pro hac vice (bs, Deputy Clerk) (Entered: 06/28/2006) 06/27/2006 Filing Fee Paid; FILING FEE $75.00 RECEIPT (bs, Deputy Clerk) (Entered: 06/28/2006) 06/29/2006 2f? REPLY by Katia Ocampo, Marcos Mustieles, Henry lurman, Jorge Flores, Marcella Cordova to response to [241-1] motion for leave to file amended class action complaint (bs, Deputy Clerk) (Entered: 06/30/2006) 07/05/ ORDER granting [257-1] motion for Terry R. Weiss to appear pro hac vice( Signed by Judge K. M. Moore on 07/05/06) [EOD Date: 7/6/06] (bs, Deputy Clerk) (Entered: 07/06/2006) 07/05/ NOTICE of attorney appearance for Merrill Lynch & Co. by Richard L. Robbins (bs, Deputy Clerk) (Entered: 07/06/2006) 07/06/ \ MENDED ORDER granting motion to appear and practice pro hac vice correcting scrh cner's error; amending [259-1] order granting [257-1] motion for Terry R. Weiss to appear pro hac vice ( Signed by Judge M. Moore on 07/06/06) [EOD Date: 7/7/06] (bs, Deputy Clerk) (Entered: 07/07/2006) 07/07/ :2 MOTION by All Plaintiffs for entry of default as to Luis M. Cornide (bs, Deputy Clerk) (Entered: 07/11/2006) 07/07/2006 c1 MOTION by All Plaintiffs for entry of default as to Robert de la Riva (bs, Deputy (-lerk) (Enicred: 07/11/2006) 07/11/ CI jerk's ENTRY OF DEFAULT as to Luis M. Cornide granting [262-1] motion for ciitry of default as to Luis M. Cornide (bs, Deputy Clerk) (Entered: 07/11/2006) 07/11/2006!265 (LERK'S ENTRY OF DEFAULT as to Robert de la Riva granting [264-1] motion for

34 cntry of default as to Robert de la Riva (bs, Deputy Clerk) (Entered: 07/11/2006) 07/17/2006 Ic± 07/18/200u 07/24/2006 2(? RESPONSE by Luis M. Cornide to [262-1] motion for entry of default as to Luis M. Cornide (bs Deputy Clerk) (Entered: 07/18/2006) MOTION by Robert de la Riva to set aside default (bs, Deputy Clerk) (Entered: 07/19/2006) NOTICE of filing Julio Ledesna's PSLRA Certification by Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna, Fernando Quevedo, Enrique Loeser Bravo, Landivar Gantier, Fabio Eduardo Moreno Charme (bs, Deputy Clerk) (I ntered: 07/25/2006) 07/24/ NOTICE of filing the original PSLRA Certifications of Fernando Quevedo, Enrique Loeser Bravo, Jose Luis Zambrano, Dr. Martha Landivar Gantier and Malliya Salazar by Cesar Aguirre Urbaneja, Jose Luis Zambrano, Malliya Salazar, Julio Ledesna, Fernando Quevedo, Enrique Loeser Bravo, Landivar Gantier, Fabio Eduardo Moreno Charme (bs, Deputy Clerk) (Enicred: 07/25/2006) 07/26/ ORDER granting [267-fl motion to set aside default, granting [266-fl motion response vacating [265-1] clerk default, vacating [263-1] clerk default (Signed by Judge K. M. Moore on 07/26/06) [EOD Date: 7/27/06] (bs, Deputy Clerk) (Entered: 07/27/2006) 07/27/2006 'Y1 RESPONSE by All Plaintiffs to [267-1] motion to set aside default (bs, Deputy Clerk) ftiitcred: 07/28/2006) 08/11/ \I OTION with memorandum in support by All Plaintiffs for preliminary approval of scttlement (bs, Deputy Clerk) (Entered: 08/14/2006) 08/18/ /31/ ORDER denying [241-1] motion for leave to file amended class action complaint, denying [239-1] motion to extend time in which to file an amended complaint, denying [239-2] motion to stay the current briefing schedule, denying [236-1] motion to be appointed lead plaintiffs, denying [236-2] motion for the approval of their selection of lead counsel( Signed by Judge K. M. Moore on 8/17/06) [EOD Date: 8/21/06] (hd, Deputy Clerk) (Entered: 08/21/2006) 274 NOTICE of filing of class representative certifications in compliance with Court's 08/17/06 Order by All Plaintiffs (bs, Deputy Clerk) (Entered: 09/01/2006) 08/31/2006 '75 \ lotion by All Plaintiffs for Hearing on [218-1] motion to dismiss second amended class action complaint, [217-1] motion to dismiss second amended class action complaint, [222-1] motion to dismiss second amended complaint, [22 1-1] motion to dismiss second amended class action complaint, [220-1] motion to dismiss second amended complaint, [219-1] motion to dismiss second amended complaint (bs, Deputy Clerk) (Entered: 09/01/2006) 08/31/ RESPONSE by All Plaintiffs in opposition to [222-1] motion to dismiss sccond amended complaint (bs Deputy Clerk) (Entered: 09/01/2006) 08/31/ LLSPONSE by All Plaintiffs in opposition to [220-1] motion to dismiss second amended complaint (bs, Deputy Clerk) (Entered: 09/01/2006) 08/31/ RESPONSE by All Plaintiffs in opposition to [221-1] motion to dismiss second

35 amended class action complaint (bs, Deputy Clerk) (Entered: 09/01/2006) 08/31/2006 RESPONSE by All Plaintiffs in opposition to [217-1] motion to dismiss second amended class action complaint (bs Deputy Clerk) (Entered: 09/01/2006) 08/31/2006 RESPONSE by All Plaintiffs in opposition to [218-1] motion to dismiss second amended class action complaint (bs, Deputy Clerk) (Entered: 09/01/2006) 08/31/ /06/ MOTION by All Plaintiffs for leave to exceed page limitation for their responses to defendant's motions to dismiss (bs, Deputy Clerk) (Entered: 09/01/2006) 282 ORDER denying [275-1] motion for Hearing on [218-1] motion to dismiss second amcnded class action complaint, [217-1] motion to dismiss second amended class action complaint, [222-1] motion to dismiss second amended complaint, [221-1] motion to dismiss second amended class action complaint, [220-1] motion to dismiss second amended complaint, [219-1] motion to dismiss second amended complaint ( Signed by Judge K. M. Moore on 09/06/06) [EOD Date: 9/7/06] (bs, Deputy Clerk) Entcred: 09/07/2006) 09/06/ ORDER granting [281-1] motion for leave to exccd page limitation for their responses to defendant's motions to dismiss (Signed by Judge K. M. Moore on 09/06/06) [EOD Date: 9/7/06] (bs, Deputy Clerk) (Entered: 09/07/2006) 09/11/ MOTION by HSBC Bank USA (Attorney) for leave to file to exceed page limitation cj, Deputy Clerk) (Entered: 09/13/2006) 09/12/2006 MOTION by All Plaintiffs for reconsideration of [273-1] order or alternatively to add class representative plaintiffs (bs Deputy Clerk) (Entered: 09/13/2006) 09/12/2006 MOTION by All Plaintiffs for Hearing on [284-1] motion for reconsideration of [273-1] order or alternatively to add class representative plaintiffs (bs, Deputy Clerk) (Entered: 09/13/2006) 09/13/ ORDER granting [286-1] motion for leave to file to exceed page limitation ( Signed 1w Judge K. M. Moore on 09/13/06) [EOD Date: 9/15/06] (bs, Deputy Clerk) Intered: 09/15/2006) 09/14/ RIPLY by Suntrust Bank, Inc. to response to [218-1] motion to dismiss second amended class action complaint (bs, Deputy Clerk) (Entered: 09/15/2006) 09/14/ /14/ /14/ /14/ /26/ REPLY by Raymond James Financ to response to [217-1] motion to dismiss second amended class action complaint (bs, Deputy Clerk) (Entered: 09/15/2006) REPLY by A lrrill Lynch & Co. to response to [220-1] motion to dismiss second ai"cnded complaint (bs Deputy Clcrk) (Entcred: 09/15/2006) 291 RI PLY by Lehman Brothers to response to [221-1] motion to dismiss second amended class action complaint (bs, Deputy Clerk) (Entered: 09/15/2006) 292 RLPLY by HSBC Bank USA to response to [222-1] motion to dismiss second amended complaint (bs, Deputy Clerk) (Entered: 09/15/2006) 293 JOINT MOTION by All Plaintiffs, Lehman Brothers, Merrill Lynch & Co., Ra mond James Financ, HSBC Bank USA to continue trial setting (bs, Deputy Clerk) (Entered: 09/27/2006)

36 09/29/ JOINT RESPONSE by Luis M. Cornide, Robert de la Riva, Suntrust Bank, Inc., Oliva Investment, Lehman Brothers, Merrill Lynch & Co., Raymond James Financ, HSBC Bank USA in opposition to [284-1] motion for reconsideration of [273-1] order or alternatively to add class representative plaintiffs (bb, Deputy Clerk) (Entered: 10/02/2006) 10/02/ NOTICE of filing of class representative certifications by Marcella Cordova, Jorge II&)res, Hcuiry lurman, Marcos Mustieles, Katia Ocampo (bs, Deputy Clerk) (Enicred: 10D3/2006) 10/16/2006 2u ORDER granting 293 Parties' Joint Motion to Continue Trial. Trial Rescheduled for \pril 30, 2007, PreTrial Conference 9:00 a.m. April 17, 2007 and Calendar Call 2:00 p.m. April 26, Signed by Judge K. Michael Moore on 10/16/06. (rg) (Entered: 10/16/2006) 10/16/2006 Set/Reset Hearings:, Set/Reset Trial Management Order Deadlines: Calendar Call set br 4/26/ :00 PM in Miami Division before Judge K. Michael Moore. Jury Trial set for 4/30/ :00 AM in Miami Division before Judge K. Michael Moore. Pretrial Conference set for 4/17/ :00 AM in Miami Division before Judge K. Michael Moore. (rg) (Entered: 10/16/2006) 10/16/ REPLY to Response to Motion re 284 Motion for Reconsideration of iegust J T :006 'er filed by All Plaintiffs (Buckner, David) (Entered 10/16/2006) 11/03/2006 \0110 I Iv HSBC Bank USA - Request for Notices ofelectronic Fili Iliomas) (Entered: 11/03/2006) 11/06/ /07/ /08/ /15/ i199 NOTICE by Merrill Lynch & Co., Inc. ofre quest for Notices ofelectronic Filings Aragon, Rudolph) (Entered: 11/06/2006) 300 ORDER denying in part and granting in part 284 Motion for Reconsideration. Signed b' Judge K. Michael Moore on 11/7/06. (rg)(entered: 11/07/2006) ELIL ()RI )I 1Q TO SHOW C'USE Show Cause Response duc by 11/16/ Signed b\ Judge K. Michael Moore on 11/8/06. (rg) (Entered: 11/08/2006) 02 NOTICE of Attorney Appearance by Jonathan Cohen on behalf of Instituto Dc Prevision Militar (Cohen, Jonathan) (Entered: 11/15/2006) 11/15/ MEMORANDUM in Support re 301 Order to Show Cause Plaintiffs' Submission I.garJing Class Certification filed by All Plaintiffs. (Attachments: #1 Text of Proposed Order Certifying Class and Appointing Class Counsel)(Buckner, David) Intered: 11/15/2006) 11/16/2006 'H04 RI SPONSE TO ORDER TO SHOW CAUSE by Lehman Brothers Inc.. Attachments: #1 Supplement # 2 Supplement)(Bartholomew, Christian) (Entered: 11/16/2006) 02/13/ Joint MOTION to Continue Unopposed Motion for Continuance of Trial Setting by Lchman Brothers Inc., Merrill Lynch & Co., Inc., Raymond James Financial Serviccs, Inc., HSBC Bank USA, Oliva Investment Group, Inc., Suntrust Bank, Inc.. Responses due by 2/28/2007 (Attachments: #1 Exhibit proposed order)(honkonen, Elizabeth) (Entered: 02/13/2007)

37 02/15/ ORDER re 305 Joint MOTION to Continue Unopposed Motion for Continuance of Trial Setting filed by Merrill Lynch & Co., Inc., Lehman Brothers Inc., HSBC Bank USA, Raymond James Financial Services, Inc.,Oliva Investment Group, Inc., Suntrust Bank, Inc. Calendar Call set for 10/25/ :00 PM in Miami Division before Judge K. Michael Moore. Final Pretrial Conference set for 10/16/ :00 AM in Miami Division before Judge K. Michael Moore. Jury Trial set for 10/29/ :00 AM in Miami Division before Judge K. Michael Moore. Signed by Judge K. Michael Moore on 2/15/07 (rgl) (Entered: 02/15/2007) 04/30/2007 H07 \&itice to the Court for Pro Hac Vice Attorney to Receive Electronic Notification by Merrill Lynch & Co., Inc. (Aragon, Rudolph) (Entered: 04/30/2007) 05/03/ Plaintiffs MOTION for Settlement Approval of Settlement ofsettlementagreement 111 Defs. Cornide, Dc La Riva and Their Wives w/incorporated Memo oflaw by All Plaintiffs. Responses due by 5/17/2007 (Attachments: #1 Exhibit Proposed Order# 2 Fxhibit Stipulation and Settlement Agreement)(Diaz, Victor) (Entered: 05/03/2007) 05/03/2007 '09 Joint MOTION for Settlementfor Preliminary Approval of Settlement with HSBC!ic:, USA, N.A. and Incorporated Memo oflaw by All Plaintiffs. Responses due by (Attachments: #1 Exhibit Proposed Order# 2 Exhibit Stipulation and Sctticiiiciit Agrccment)(Diaz, Victor) (Enicred: 05/03/2007) 05/04/2007 ' ()RDI Prclininiarilv Approving Settleniciit and Providing for Notice.Signed by Judge K. Michael Moore on 5/4/07. (rgl) (Entered: 05/04/2007) 05/04/ ORDER Certifying Class for villalobos Settlement Purposes and Preliminarily \pproving 272 Proposed Settlement Signed by Judge K. Michael Moore on 5/4/07. rgl) (Entered: 05/04/2007) 05/09/ ORDER denying as moot 219 Motion to Dismiss Second Amended Complaint, denying as moot 222 Motion to Dismisswith Memorandum, denying as moot 223 Motion for Extension of Time to File Reply to Defendants Response to Motion for Direction, denying as moot 224 Amended Motion for Time to Reply to Defendnts Response to Motion for Direction, denying as moot 246 Motion to Intervene, denying as moot 285 Motion for Hearing, denying as moot 308 Joint Motion for Preliminary \pproval of Settlement. Signed by Judge K. Michael Moore on 5/9/07. (rgl) (Entered: 05/09/2007) 05/09/ Plaintiffs MOTION to Continue Fairness Hearing Hearing by All Plaintiffs. Responses due by 5/23/2007 (Attachments: #ltext of Proposed Order Proposed Order)(Diaz, Victor) (Entered: 05/09/2007) 05/10/ Paperless ORDER granting 313 Motion to Continue Hearing until August 10th, 2007 Signed by Judge K. Michael Moore on 5/10/7. (KMM) (Entered: 05/10/2007) 05/10/ NOTICE of Hearing: Fairness Hearing set for 8/10/ :00 AM in Miami Division bcl:ore Judge K. Michael Moore. (rgl) (Entered: 05/10/2007) 05/11/ RESPONSE (Joint) to Amended Special Counsel's Motion for a Status Conference ajij or Clarification as to the Court's May 4, 2007 Order (sic) Preliminary Approving Settlement and Providing Notice filed by Thomas G. Schultz. (Milian, David) (Entered: 05/11/2007) 05/14/2007 U7 NOtICE by HSBC Bank USA ofreetest for Notice ofelectromc igs (Celmer,

38 Carly) (Entered: 05/14/2007) 05/15/2007 NOTICE OF UNAVAILABILITY by Merrill Lynch & Co., Inc. for dates of June 7-8, Tune July (Aragon- Rudolph) (Entered: 05/15/2007) 05/17/ MOTION for clarification of0rjerpreh;m7an/j'approving Settlement by Merrill Lynch & Co., Inc.. Responses due by 6/1/2007 (Aragon, Rudolph) (Entered: 05/17/2007) 05/22/ Joint MOTION for Settlement Extended Approval Deadlines by All Plaintiffs. Responses due by 6/6/2007 (Attachments: #1 Text of Proposed Order Proposed Order on Joint Motion to Extend Settlement Approval Deadlines)(Diaz, Victor) (Entered: o5/22/2007) 05/22/ ORDER of Clarification/Amendment of Order Preliminarily Approving Settlement. Signed by Judge K. Michael Moore on 5/22/07.(rgl) (Entered: 05/22/2007) 05/22/ ORDER granting 320 Joint MOTION to Extend Settlement Extended Approval Deadlines filed by All Plaintiffs. Signed by Judge K. Michael Moore on 5/22/07.(rgl) (Entered: 05/22/2007) 05/23/ /24/2007 \&itice of Undeliverable Mail re 314 Order on Motion to Continue Hearing US Mail returned for: return to sender -moved left no forwarding address- unable to forward -or: Robert del la Riva (rb) (Entered: 05/23/2007) Notice of Undeliverable Mail re 310 Order on Motion for Settlement, 311 Order on Motion for Settlement US Mail returned for: return to sender moved left no address unable to forward for: Robert de la Riva (rb) (Entered: 05/24/2007) 05/29/2007 c23 Joint MOTION for Settlement Approval and Incorporated Me;o oflaw by All Plaintiffs. Responses due by 6/12/2007 (Attachments: #1 Exhibit 1# 2 Exhibit ')(Diaz, Victor) (Entered: 05/29/2007) 05/29/ ORDER granting 323 Motion for Preliminary Approval of Settlement Signed by Judge K. Michael Moore on 5/29/07. (rgl) (Entered: 05/29/2007) 05/31/2007 \( )TICE by Raymond James Financial Services, Inc. r 217 Motion to Dismiss of ig SuppleentalAutho; y ( Attachments # 'Exhibit A)(Schafer, Harry) (Entered 05/31/2007) 05/31/ ORDER Granting Motion for Clarification. Signed by Judge K. Michael Moore on 5/31/07.(rgl) (Entered: 05/31/2007) 06/25/ Notice of Supplemental Authority by Raymond James Financial Services, Inc. L \ttachmciits: #1 Exhibit US Supreme Court Opinion)(Honkoncn, Elizabeth) (I ntered: 06/25/2007) 07/10/ /10/ Statement of Lehman Brothers REGARDING THE PROPOSED PARTIAL SETTLEMENT by Lehman Brothers Inc.. (Bartholomew, Christian) (Entered: 07/10/2007) \TOTICE by Merrill Lynch & Co., Inc. of Objection to Settlement (\ragon, Rudolph) Iitcred: 07/10/2007) 07/23/ joint \10 I 10\ or Extension of Time to File Materials in Suppo' i( 1/ Merrill Lynch's

39 \Iotice of Objection to Settlement by Merrill Lynch & Co., Inc.. (Robbins, Richard) (Entered: 07/23/2007) 07/23/2007 '3i Corrected MOTION for Extension of Time to File Materials in Support ofmer;17l Lynch's Notice of Objection to SeUTament by Merrill Lynch & Co., Inc.. (Robbins, Richard) (Entered: 07/23/2007) 07/24/ NOTICE by All Plaintiffs offiling Affidavit ofjose C. Fraga (Attachments: #1 Exhibit Exhibit "A")(Diaz, Victor) (Entered: 07/24/2007) 07/25/ Paperless ORDER granting t31 Motion for Extension of Time to File Signed by Judge K. Michael Moore on 7/25/7. (KMM) (Entered: 07/25/2007) 07/25/ /27/ Paperless ORDER denying as moot 330 Motion for Extension of Time to File Signed by Judge K. Michael Moore on 7/25/7. (KMM) (Entered: 07/25/2007) STIPULATION re 329 Notice (Other) ofplaintzffs and Defendant Merrill Lynch kgar fang Notice of Objection to Settlement by Merrill Lynch & Co., Inc.. \sagon, Rudolph) (Entered: 07/27/2007) 08/03/ Plaintiffs MOTION for Settlement Final Approval by All Plaintiffs. Responses duc by 8/17/2007 (Attachments: #1 Exhibit Declaration of Harley S. Tropin# 2 Exhibit Declaration of Victor M. Diaz, Jr.# 3 Affidavit Michael Hanzman# 4 Affidavit Joseph \4atthews)(Buckner, David) (Entered: 08/03/2007) 08/08/ /10/ NOTICE by All Plaintiffs OfFiling Of Letter Supporting Settlement (Milian, David) (Entered: 08/08/2007) 138 ORDER granting 336 Motion for Final Approval of Settlement, dismissing HSBC Released Persons. Signed by Judge K. Michael Moore on 8/10/07. (rgl) (Entered: 08/10/2007) 08/10/ ORDER granting 326 Plaintiffs MOTION for Settlement Final Approval filed by All Plaintiffs; Final Judgment and Order of Dismissal with Prejudice. Signed by Judge K. \4ichael Moore on 8/10/07.(rgl) (Entered: 08/10/2007) 08/10/2007 ORDER granting 336 Plaintiffs MOTION for Scitkinut Final Approval filed by All Plaintiffs; Final Judgment and Order of Dismissal with Prejudice. Robert de la Riva terminated. Signed by Judge K. Michael Moore on 8/10/07.(rgl) (Entered: 08/10/2007) 08/10/ ORDER granting 326 Plaintiffs MOTION for Attorneys'Fees filed by All Plaintiffs, Signed by Judge K. Michael Moore on 8/10/07.(rgl) (Entered: 08/10/2007) 08/10/ Minute Entry for proceedings held before Judge K. Michael Moore: Motion Hearing Iicld on 8/10/2007 re 336 Plaintiffs MOTION for Settlement Final Approval filed by \Jl Plaintiffs. Court Reporter: Susan Suddarth, Official Reporting Service- phone number (rgl) (Entered: 08/10/2007) 08/13/2007 Notice of Undeliverable Mail re 333 Order on Motion for Extension of Time to File, 334 Order on Motion for Extension of Time to File US Mail returned for: return to sender moved left no forwarding address for: Robert de la Riva (rb) (Entered: W,,`13/2007) 08/22/ Unopposed MOTION to Continue Trial SetiL/ig by Lehman Brothers Inc., Merrill Lynch & Co., Inc., Raymond James Financial Services, Inc., Oliva Investment Group

40 Inc., Suntrust Bank, Inc.. Responses due by 9/6/2007 (Honkonen, Elizabeth) (Entered: O< fl'2007) 4 08/22/ NOBLE of Change of Address by Robert de la Riva (1k) (Entered: 08/23/2007) 09/28/ Paperless ORDER denying 201 Motion Signed by Judge K. Michael Moore on 9/28/7. KMM) (Entered: 09/28/2007) 09/28/ Paperless ORDER denying 248 Motion to Substitute Party. Signed by Judge K. Michael Moore on 9/28/7. (KMM) (Entered: 09/28/2007) 10/01/2007 Notice of Undeliverable Mail re 339 Order, Terminate Parties, 340 Order, Terminate Parties US Mail returned for: return to sciider mo d left no forwarding address unable to forward for: Robert DeLa Riva (rb) (Entered: 10/01/2007) 10/12/ SCHEDULING ORDER: Pretrial Conference rescheduled for 10/25/ :00 PM in Miami Division before Judge K. Michael Moore. Signed by Judge K. Michael Moore on 10/12/07.(rgl) (Entered: 10/12/2007) 10/22/ ORDER Temporarily Removing Case from Trial Calendar; Setting Hearing on Motions 226, 217, 218, 220, 221 to Dismiss: Motion Hearing set for 10/30/ :00 AM in Miami Division before Judge K. Michael Moore. Signed by Judge K. Michael Moore on 10/22/07.(rgl) (Entered: 10/22/2007) 10/24/ MOTION to Bring Electronic Equipment into the courtroom by All Plaintiffs. Responses due by 11/7/2007 (Attachments: #ltext of Proposed Order Proposed ()rder)(buckner, David) (Entered: 10/24/2007) 10/25/2007 OR 1)1 IQ granting 349 Motion to Bring Elcctronic Equipmcnt into the courtroom Shned by Judge K. Michael Moore on 10/25/07. (rgl) (Entered: 10/25/2007) 10/25/2007 hi NOTICE of Settlement in Principle by Lehman Brothers Inc. (Bartholomew, Christian) (Entered: 10/25/2007) 10/29/ Defendant's MOTION to Bring Electronic Equipment into the courtroom by Lehman Brothers Inc., Merrill Lynch & Co., Inc., Raymond James Financial Services, Inc., Suntrust Bank, Inc.. Responses due by 11/13/2007 (Attachments: #1 Text of Proposed Order Order Granting Financial Institution Defendants' Motion to Take Electronic Equipment Into Federal Justice Building)(Aragon, Rudolph) (Entered: 10/29/2007) 10/29/ Notice of Supplemental Authority re 279 Response in Opposition to Motion, 277 Response in Opposition to Motion, 278 Response in Opposition to Motion, 280 Response in Opposition to Motion, 276 Response in Opposition to Motion by All Plaintiffs (Ronzetti Thomas) (Entered: 10/29/2007) 10/29/ ORDER granting 352 Motion to Bring Electronic Equipment into the courtroom Signed by Judge K. Michael Moore on 10/29/07. (rgl) (Entered: 10/29/2007) 10/30/ Minute Entry for proceedings held before Judge K. Michael Moore : Motion Hearing held on 10/30/2007 re 219 Motion to Dismiss filed by HSBC Bank USA, 221 Motion to Dismiss filed by Lehman Brothers Inc., 217 Motion to Dismiss filed by Raymond James Financial Services, Inc., 218 Motion to Dismiss filed by Suntrust Bank, Inc.,.220 Motion to Dismiss filed by Merrill Lynch & Co., Inc., 275 Motion for Hearing Filed by All Plaintiffs. Court Reporter: Larry Herr - phone number (rgl)

41 (Entered: 10/31/2007) 12/07/ ORDER granting 217 Motion to Dismiss, granting 218 Motion to Dismiss, granting 220 Motion to Dismiss, granting 221 Motion to Dismiss, granting 226 Motion to Dismiss. CASE CLOSED.Signed by Judge K. Michael Moore on 12/7/07. (rgl) (Entered: 12/07/2007) 01/04/ NOTICE OF APPEAL by All Plaintiffs (Eaton, Joel) (Entered: 01/04/2008) 01/07/2008 Transmission of Notice of Appeal, Docket Sheet and Order under appeal sent to US Court of Appeals re 357 Notice of Appeal as to All Plaintiffs (nc) (Entered: 01 X37/2008) 01/07/ NOTICE of Instruction to Filer: re 357 Notice of Appeal filed by All Plaintiffs, Error: In the future when filing a Notice of Appeal, please select the appealing order/judgment. (nc) (Entered: 01/07/2008) 01/07/ Clerk's Notice of Receipt of Appeal Filing Fees received $ receipt number re 37 Notice of Appeal filed by All Plaintiffs (ne) (Entered: 01/07/2008) 01/07/ \ MENDED DOCUMENT by All Plaintiffs. Amended Notice ofappeal. (Eaton, Joel) (I ntered: 01/07/2008) 01/07/ /08/ /08/2008 \ MENDED NOTICE OF APPEAL by All Plaintiffs re 356 Order on Motion to Dismiss, Filing Fee:$ , receipi Copies sent to US( \. and Counsel of Record. (nc) (See de 360 for Image). (Entered: 01/08/2008) Transmission of Amended Notice of Appeal, Docket Sheet and Order under appeal scut to US Court of Appcals rc 360 Amcnded Noticc of Appcal as to All Plaintiffs nc). (Entered: 01/08/2008) 361 NOTICE of Docket Correction and Instruction to Filer: re 360 Amended Document Filed by All Plaintiffs, Error: Wrong Event Selected; Notice of Docket Correction= Clerk Redocketed as Amended Notice of Appeal using the correct Event. Instruction to Filer In the future please select the proper Event under Appeals Document when Filing a Notice of Appeal or Amended Notice of Appeal and select the appealing udgment/order. (nc) (Entered: 01/08/2008) 01/16/ IRANSCRIPT INFORMATION FORM by All Plaintiffs re Notice of Appeal, 357 \&itice of Appeal. sent to Court Reporter Coordinator. Hearing on Motion to Dismiss held on 10/30/07 transcript. Order placed by Joel D. Eaton, Esq. (nc) Iitcred: 01/17/2008) 01/16/2008 uj 01/16/ COURT REPORTER ACKNOWLEDGEMENT re Notice of Appeal, 357 Notice of \ppeal Court Reporter: Larry Herr- phone number Estimated filing date of transcript 1/16/08 (nc) (Entered: 01/17/2008) TRANSCRIPT of Motion to Dismiss held on 10/30/07 before Judge K. Michael Moore, re Notice of Appeal, 357 Notice of Appeal Court Reporter: Larry Herr- phone 'umber pages. (nc. (Enicred: 01/17/2008) 01/16/ TRANSCRIPT NOTIFIC \[f ION the transcript order on Hearing on Motion to Dismiss held on 10/30/07 has been filed by Court Reporter Larry Herr. (nc) (Entered: 01/17/2008)

42 01/18/ NOTICE of Receipt of NOA Transmittal Letter from USCA on 1/11/08 Re: USCA Case Number: E for Notice of Appeal filed by All Plaintiffs,, 357 Notice of \ppeal filed by All Plaintiffs,. (nc) (Entered: 0 1/23/2008) 01/23/ \( )TICE of Receipt of NOA Transmittal Letter from USCA on 1/14/08 Re: USCA Case Number: E for Notice of Appeal filed by All Plaintiffs,, 357 Notice of \ppeal filed by All Plaintiffs,. (nc) (Entered: 0 1/23/2008) 01/24/2008 NOTICE of Attorney Appearance by Erin Kathleen Linehan on behalf of Raymond James Financial Servicc Inc. (Lincliatt Erin) (Enicred: 01/24/2008) 04/21/ ORDER of DISMISSAL from USCA. pursuant to Appellant's motion to dismiss this appeal with prejudice in part as to Appellees Lehman Brothers, Inc, Merrill Lynch & Company, Inc, Raymond James Financial Services, Inc, and Oliva Investment Group, Inc. is GRANTED. This appeal shall remain pending as to the remaining appellees. \.ppellant's motion to waive service of their brief and record excerpts on the dismissed \.ppellees is GRANTED re Notice of Appeal filed by All Plaintiffs,, 357 Notice of \.ppeal filed by All Plaintiffs, USCA Appeal# EE. Copy to Judge (nc) (Entered: 04/23/2008) 06/27/ CERTIFICATE of Readiness transmitted to USCA re 357 Notice of Appeal filed by All Plaintiffs, Notice of Appeal filed by All Plaintiffs; USCA Appeal# E nc) (Entered: 06/27/2008) 06/27/ Ccrtified and Transmitted Record on Appeal to US Court of Appeals(Atlanta Office) Consisting of (6)Volumes of Pleadings,(2)Volumes of Transcripts and (4)Accordion Folders containing DE#'s 65,67,82,86,87,107,143,147,177,189,218,221,222,242,272, ,284,292,303,304, , 323,336 re Noticc of Appcal, 357 Noticc of Appcal (nc) (Entered: 06/27/2008) 07/09/ \CKNOWLEDGEMENT OF RECEIPT FROM USCA re 357 Notice of Appeal, Notice of Appeal receipt of CORIROA date received by USC' 07/02/2008 USCA number E (amb) (Entered: 07/09/2008) 08/20/ MOTION for Settlement and Memorandum oflaw by Thomas G. Schultz. Responses due by 9/8/2008 (Attachments: # 'Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, #7 Exhibit G)(Schwager, Michael) (Entered: 08/20/2008) 09/11/ ORDER granting 373 Motion of Receiver and Lead Plaintiffs for Preliminary \.pproval of Settlement. Signed by Judge K. Michael Moore on 9/11/08. (rgl) (Entered: 09/11/2008) 09/15/2008 \MENDED ORDER Granting Motion of River and Lead Plaitniffs for Preliminary \.pproval of Settlement (rescheduling date of fairness hearing). Signed by Judge K. Michael Moore on 9/15/08. (rgl) (Entered: 09/15/2008) 09/15/2008 Set/Reset Hearings: Fairness Hearing set for 11/20/ :00 AM in Miami Division before Judge K. Michael Moore. (rgl) (Entered: 09/15/2008) 10/01/2008 NOTICE by Lehman Brothers Inc. offi ing SIPC Complaint and Order (Attachments: SIPC Complaint)(Bartholomcs' Christian) (Entcred: 10/01/2008)

43 11/12/ Joint MOTION to Substitute Attorney by Lehman Brothers Inc.. Responses due by 12/1/2008 (Attachments: #1 Text of Proposed Order Proposed Order)(Bartholorncw, Christian) (Entered: 11/12/2008) 11/12/ \ lotion for Settlement Final Approval an, 7- Plaintiffs MOTION for Attorney Fees and Incorporated Memorandum oflaw by All Plaintiffs. Responses due by 12/1/2008 (Attachments: #1 Exhibit A) Declaration of Victor M. Diaz, Jr. in Support of Plaintiffs' Counsel's Petition for Attorneys' Fees and Reimbursement of Expenses, # 2 Exhibit B) Declaration of Harley S. Tropin in Support of Plaintiffs' Counsel's Petition br Attorneys' Fees and Reimbursement of Expenses, # 3 Exhibit Supplemental Declaration of Joseph M. Matthews)(Humphreys, Janet) (Entered: 11/12/2008) 11/13/ PAPERLESS ORDER granting 377 Motion to Substitute Attorney. Added attorney Nicolas Swerdloff for Lehman Brothers Inc. Attorney Christian Reginald Bartholomew terminated. Signed by Judge K. Michael Moore on 11/13/2008. (rgl) (Entered: 11/13/2008) 11/17/2008 Pursuant to DE#379 Attorney Robert Mark Brochin terminated. (dg) (Entered: 11/17/2008) 11/18/ NOTICE by Henry human, Marcos Mustieles, Katia Ocampo, Marcella Cordova, Jorge Flores offiling Affidavit ofjose C. Fraga Regarding The Mailings of the Notice (Attachments: #1 Affidavit Affidavit of Jose C. Fraga)(Schwager, Michael) (Entered: 11 18/2008) 11/19/2008 ;gi NOTICE by Henry human, Marcos Mustieles, Katia Ocampo, Marcella Cordova, Jorge Flores offiling Declaration ofmichael S. Schwager (Attachments: # 'Affidavit Declaration of Michael S. Schwager)(Schwager, Michael) (Entered: 11/19/2008) 11/20/ Minute Entry for proceedings held before Judge K. Michael Moore: Fairness Hearing held on 11/20/2008. Court Reporter: Official Reporting Service, Phone: 'c1020 (rgl) (Entered: 11/20/2008) 11/20/ \ MENDED ORDER re 379 Order on Motion to Substitute Attorney. Signed by Judge.. K. Michael Moore on 11/20/2008. (rgl) (Entered: 11/20/2008) 11/20/ FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE. Signed by Judge K. Michael Moore on 11/20/2008. (rgl) (Entered: 11/20/2008) 11/20/ ORDER GRANTING PLAINTIFFS' ATTORNEYS' FEES AND COSTS. Signed by Judge K. Michael Moore on 11/20/2008. (rgl) (Entered: 11/20/2008) 07/02/ \ppeal Record Returned: Consisting of (6) Volumes of Pleadings, (2) Volumes I ranscripts and (4) Accordion Folders 357 Notice of Appeal, Notice of Appeal (cqs) (Entered: 07/02/2009) 07/06/ \I kndate of USCA,AFFIRMING IN PART. VACATED AND REMANDED IN PART; VACATING the Order of Dismissal on the Claims against Cornide, REMANDING for additional proceedings (certified copy) as to Notice of Appeal filed by All Plaintiffs ; Date Issued: 6/29/2009 ; USCA Case Number: EE (cqs) (Entered: 07/06/2009) 08/14/ PAPERLESS ORDER. THIS CAUSE came before the Court sua sponte. Plaintiffs are ORDERED to file no later than August 20, 2009, a notice informing the Court how

44 they wish to proceed, and specifying what if any relief they seek from the Court, in light of the Eleventh Circuit's Mandate 387 remanding this case in part for additional proceedings with respect to Defendant Luis Cornide. Signed by Judge K. Michael Moore on 8/14/2009. (rgl) (Entered: 08/14/2009) 08/20/ NOTICE by All Plaintiffs to Court Pursuant to Court's Instructions Regardi ig Filing ofmotzon for Summary Judgment Re: Luis Corn,, e (Gravante, John) (Entered: 0',,"20/2009) 09/21/ Plaintiffs MOTION for Exicusion of Time to File Motion For Summary Judgment igohist Defendant Luis Cornide by All Plaintiffs. (Gravante, John) (Entered: 09/21/2009) 09/22/ PAPERLESS ORDER GRANTING 390 Motion for Extension of Time to File Motion br Summary Judgment Against Defendant Luis Cornide. Plaintiffs may file their motion for summary judgmciit on or before October 5, Sigiicd by Judge K. \lichael Moore on 9/22/2009. (rgl) (Entered: 09/22/2009) 09/29/ Plaintiffs MOTION for Partial Summary Judgment As to Count IAga ist Defendant Luis Cornide, Statement ofmaterial Facts, and Memorandum oflaw in Support by \Jl Plaintiffs. (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")(Diaz, Victor) (Entered: 09/29/2009) 01/14/ ORDER GRANTING 392 Motion for Partial Summary Judgment. Signed by Judge K. Michael Moore on 1/13/2010. (rgl) Modified signature date on 1/19/2010 (we). (Entered: 01/14/2010) 01/27/ Plaintiffs MOTION for Extension of Time to File by All Plaintiffs. (Attachments: #1 Text of Proposed Order)(Buckner, David) (Entered: 01/27/2010) 01/28/ PAPERLESS ORDER GRANTING 394 Motion for Extension of Time. Plaintiffs shall inform the Court of the amount of their requested damages on or before February 8, Signed by Judge K. Michael Moore on 1/28/2010. (rgl) (Entered: 01/28/2010) 02/08/ NOTICE by All Plaintiffs Notice offiling Spreadsheet Outlining the Losses Incurred h1' the Plaintiff Class as a Result of the Wrongful Conduct ofdefendant, Luis Corn, (I )ia7 Victor) (Entered: 02/08/2010) 02/08/ Rcnewed MOTION to Certify Class by All Plaintiffs. Responses due by 2/25/2010 (I uckner, David) (Entered: 02/08/2010) 03/29/ PAPERLESS ORDER DENYING WITH LEAVE TO REFILE 397 Renewed Motion to Certify Class by All Plaintiffs. Plaintiffs' Motion is denied because it is unsupported by admissible evidence. Plaintiffs bear the burden of establishing every element of their entitlement to certification. Babineau v. Federal Exp. Corp., 576 F.3d 1183, th Cir. 2009). Plaintiffs are reminded that [s]tatements by counsel in briefs are not cvidence. Ladner v. Litespeed Mfg. Co., 537 F. Supp. 2d 1206, 1217 (N.D.Ala. 2008). Nor can Plaintiffs simply rely on their pleadings to support their assertions. As, in cxamining a Motion to Certify a Class, [going beyond the pleadings is necessary, as a court must understand the claims, defenses, relevant facts, and applicable substantive law in order to make a meaningful determination of the certification issues. Vega v. T-

45 Mobile USA, Inc., 564 F.3d 1256, 1266 (11th Cir. 2009) (citation omitted). Defendant's "[d]efault does not fundamentally change the analysis the court must undertake in deciding whether to conditionally certify Plaintiffs' class." Davis v. Precise Communication Services, Inc., 2009 WL , at *1 (N.D.Ga. 2009). Here, almost none of the factual claims in the Plaintiffs' Motion are supported by a citation to admissible evidence. For example, the Motion's only support of Named Plaintiffs' adequacy to represent the Putative Class is an attorney's statement that "Plaintiffs are ideal class representatives who will fairly, honestly and adequately represent the best interests of the class," see P1. Mot. at 9, and the only evidence showing that the Named Plaintiffs' claims are typical of the absent class member's claims is an attorney's statement that "Plaintiffs' claims are typical of the claims of the absent class members because they have all been harmed by PFA's sales of unregistered securities." Id. at 8. These conclusory statements by an attorney, and similar statements throughout the Motion, are insufficient to meet the Plaintiffs' burden under Fed. R. Civ. P. 23. Plaintiffs are given leave to refile the Motion with additional evidence. Additionally- if Plaintiffs choose to refile, the Court requests that they address the issue of timeliness in light of Fed. R. Civ. P. 23(a)'s requirement that class action cases be certified "[a]t an early practicable time." Particularly, the Court requests that Plaintiffs focus on the impact that the prior merit-based decision issued in this case has on their Renewed Motion to Certify Class at this late stage in the litigation. Any such motion must be Filed by April 12, If the Plaintiffs decide not to refile the motion,plaintiffs should submit to the Court, by April 12, 2010, a proposed order of final judgment in WordPerfect format as to the named Plaintiffs only. Signed by Judge K. Michael Moore on 3/29/2010. (rgl) (Entered: 03/29/2010) 04/18/ PAPERLESS ORDER. THIS CAUSE came before the Court upon Plaintiffs' failure to respond to this Court's March 29, 2010 Order 398 directing Plaintiffs to, by April 12, 2010, either refile their Renewed Motion to Certify Class or submit to the Court a proposed order of final judgment. To date, Plaintiffs have not responded. In light of Plaintiffs' failure, Plaintiffs are instructed to show cause, by April 23, 2010, why this case should not be dismissed sua sponte for failure to comply with this Court's Order. \Jong with any response, Plaintiffs shall comply with the March 29, 2010 Order. Plaintiffs are hereby on notice that failure to respond by this deadline may result in dismissal with prejudice. Signed by Judge K. Michael Moore on 4/18/2010. (rgl) (Entered: 04/18/2010) 04/22/ Plaintiffs MOTION to Dismiss 397 Renewed MOTION to Certify Class, 392 Plaintiffs MOTION for Partial Summary JudgmentAs to Count IAga/ nst Defendant Lu/s Corn/dc, Statement ofmater/alfacts, and Memorandum oflaw in Support by \Jl Plaintiffs. Responses due by 5/10/2010 (Attachments: #1 Text of Proposed Order)(Buckner, David) (Entered: 04/22/2010) 04/23/ PAPERLESS ORDER GRANTING Motion to Dismiss 400. Plaintiffs ask that they be allowed to withdraw their Renewed Motion for Class Certification 397 and dismiss their Motion for Partial Summary Judgment as to Defendant Luis Cornide 392 as they believe that this claim is no longer economical to pursue. In lights of Plaintiffs' representations, this Court's prior Order granting partial summary judgement 393 is vacated and Plaintiffs' Renewed Motion for Class Certification 397 is deemed withdrawn. Further, upon consideration of the Motion, the pertinent portions of the record, and being otherwise fully advised in the premises, it is ORDERED AND \JJJUDGED that the above-styled cause is hereby DISMISSED WITH PREJUDICE.

46 This case remains CLOSED. All pending motions are DENIED AS MOOT. Signed by Judge K. Michael Moore on 4/23/2010. (rgl) (Entered: 04/23/2010) 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