U.S. District Court Northern District of Texas (Dallas) CIVIL DOCKET FOR CASE #: 3:11-cv O

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1 US District Court Civil Docket as of May 13, 2013 Retrieved from the court on May 14, 2013 U.S. District Court Northern District of Texas (Dallas) CIVIL DOCKET FOR CASE #: 3:11-cv O Friedman v. Penson Worldwide, Inc. et al Date Filed: 08/23/2011 Assigned to: Judge Reed C O'Connor Jury Demand: Plaintiff Related Case: 3:11-cv L Nature of Suit: 850 Cause: 15:78m(a) Securities Exchange Act Securities/Commodities Jurisdiction: Federal Question Plaintiff Reid Friedman on behalf of himself and all others similarly situated represented by Ryan Rosser Cordell Hicks Schneider Wallace Cottrell Brayton Konecky, LLP 3700 Buffalo Speedway, Ste Houston, TX / Fax: 866/ rhicks@schneiderwallace.com Dena DeNooyer Stroh Murchison Oil & Gas Inc 1100 Mira Vista Boulevard Plano, TX Fax: 972/ dstroh@jdmii.com Frederic S Fox Kaplan Fox & Kilsheimer LLP 850 Third Ave 14th Floor New York, NY / Fax: 212/ Bar Status: Not Admitted Jeffrey P Campisi Kaplan Fox & Kilsheimer LLP

2 850 Third Ave 14th Floor New York, NY / Fax: 212/ Bar Status: Not Admitted Laurence D King Kaplan Fox & Kilsheimer LLP 350 Sansome Street Suite 400 San Francisco, CA / Fax: 415/ lking@kaplanfox.com PRO HAC VICE Mario M Choi Kaplan Fox & Kilsheimer LLP 350 Sansome Street Suite 400 San Francisco, CA / Fax: 415/ mchoi@kaplanfox.com PRO HAC VICE Michael K Hurst Gruber Hurst Johansen & Hail LLP 1445 Ross Ave Suite 2500 Dallas, TX Fax: mhurst@ghjhlaw.com Peter B Schneider Grady Schneider 801 Congress Ave 4th Floor Houston, TX / Fax: 713/ Bar Status: Not Admitted

3 V. Defendant Penson Worldwide Inc represented by Michelle A Reed Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX / Fax: 214/ mreed@akingump.com Ashley E Markow Young Conaway Stargatt & Taylor LLP 1000 N Kint St Wilmington, DE / Fax: 302/ Bar Status: Not Admitted M Scott Barnard Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX / Fax: 214/ sbarnard@akingump.com Orrin Lea Harrison, III Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX / Fax: 214/ oharrison@akingump.com Defendant Philip A Pendergraft represented by Michelle A Reed

4 M Scott Barnard Orrin Lea Harrison, III Defendant Kevin W McAleer represented by Michelle A Reed M Scott Barnard Orrin Lea Harrison, III Defendant Roger J. Engemoen represented by Michelle A Reed M Scott Barnard Orrin Lea Harrison, III Defendant Daniel P. Son represented by Michelle A Reed

5 Defendant M Scott Barnard Orrin Lea Harrison, III R. Thomas Johnson represented by Greg Weselka Secore & Waller LLP Merit Drive Suite 1350 Dallas, TX / Fax: 972/ greg@secorewaller.com Defendant BDO Seidman LLP represented by Jessica B Pulliam Baker Botts - Dallas 2001 Ross Ave Suite 600 Dallas, TX / Fax: 214/ jessica.pulliam@bakerbotts.com Robb L Voyles Baker Botts LLP 2001 Ross Ave Suite 600 Dallas, TX / Fax: 214/ robb.voyles@bakerbotts.com

6 Timothy W Mountz Baker Botts LLP 2001 Ross Ave Suite 600 Dallas, TX / Fax: 214/ t.mountz@bakerbotts.com Defendant BDO USA LLP represented by Jessica B Pulliam Robb L Voyles Timothy W Mountz V. Movant Revalon Capital Limited Fund represented by Roger F Claxton Claxton Law Firm N Central Expwy Suite 725 Dallas, TX / Fax: 214/ roger@claxtonlaw.com Date Filed # Docket Text 08/23/ COMPLAINT WITH JURY DEMAND against All Defendants filed by Reid Friedman. Clerk to issue summons(es). In each Notice of Electronic Filing, the judge assignment is indicated, and a link to the Judges Copy Requirements is provided. The court reminds

7 the filer that any required copy of this and future documents must be delivered to the judge, in the manner prescribed, within three business days of filing. (Filing fee $350; Receipt number ) Unless exempted, attorneys who are not admitted to practice in the Northern District of Texas should seek admission promptly. Forms, instructions, and exemption information may be found at or by clicking here: Attorney Information - Bar Membership (Attachments: # 1 Declaration(s) Certification of Named Plaintiff) (Hicks, Ryan) (Entered: 08/23/2011) 08/23/ /23/ /23/ ADDITIONAL ATTACHMENTS to 1 Complaint by Plaintiff Reid Friedman. (Attachments: # 1 Cover Sheet) (Hicks, Ryan) (Entered: 08/23/2011) 3 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Reid Friedman. (Hicks, Ryan) (Entered: 08/23/2011) 4 Summons Issued as to Kevin W McAleer, Philip A Pendergraft, Penson Worldwide, Inc. (tln) (Entered: 08/23/2011) 08/23/ New Case Notes: A filing fee has been paid. Magistrate Judge Toliver preliminarily assigned. File to Judge O Connor. Pursuant to Misc. Order 6, Plaintiff is provided the Notice of Right to Consent to Proceed Before A U.S. Magistrate Judge. Clerk to provide copy to plaintiff if not received electronically. (tln) (Entered: 08/23/2011) 09/12/ Agreed Motion for Extension of Time to File Answer filed by Reid Friedman, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide, Inc. (Attachments: # 1 Proposed Order) (Reed, Michelle) (Entered: 09/12/2011) 09/13/ /13/ /13/ CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc. (Barnard, M) (Entered: 09/13/2011) 8 NOTICE of Attorney Appearance by M Scott Barnard on behalf of Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc. (Barnard, M) (Entered: 09/13/2011) 9 ORDER granting 6 Agreed Motion for Extension of Time. (Ordered by Judge Reed C O'Connor on 9/13/2011) (twd) (Entered: 09/14/2011) 09/16/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jeffrey P. Campisi (Filing fee $25; Receipt number ) filed by Reid Friedman (Campisi, Jeffrey) (Entered: 09/16/2011) 09/19/ ELECTRONIC ORDER denying 10 Application for Admission Pro Hac Vice of Jeffrey P. Campisi. Clerk shall return admission fee to Applicant. (Ordered by Judge Reed C O'Connor on 9/19/2011) (chmb)(amv) (Entered: 09/19/2011) 09/29/ NOTICE of Attorney Appearance by Ryan Rosser Cordell Hicks for Michael K. Hurst on behalf of Reid Friedman. (Hicks, Ryan) (Entered: 09/29/2011) 09/30/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jeffrey P. Campisi (Filing fee $25; Receipt number ) filed by Reid Friedman (Attachments: # 1 Proposed Order) (Campisi, Jeffrey) (Entered: 09/30/2011) 10/24/ MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund filed by Revalon Capital Limited Fund with Brief/Memorandum in Support. (Claxton, Roger) (Entered: 10/24/2011)

8 10/24/ MEMORANDUM OF LAW IN SUPPORT OF THE REVALONG CAPITAL LIMITED FUNDS MOTION FOR (1) APPOINTMENT AS LEAD PLAINTIFF AND (2) APPROVAL OF LEAD PLAINTIFFS SELECTION OF LEAD COUNSEL by Revalong Capital Limited Fund Brief in Support filed by Revalon Capital Limited Fund (Claxton, Roger) Modified on 10/25/2011 (rrr). (Entered: 10/24/2011) 10/24/ APPENDIX IN SUPPORT OF THE REVALONG CAPITAL LIMITED FUND'S MOTION FOR (1) APPOINTMENT AS LEAD PLAINTIFF AND (2) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL by Revalong Capital Limited Fund Brief in Support Appendix to Motion and Brief filed by Revalon Capital Limited Fund (Claxton, Roger) Modified on 10/25/2011 (rrr). (Entered: 10/24/2011) 10/24/ MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff filed by Reid Friedman (Attachments: # 1 Proposed Order). Party Reid Friedman added. (Hicks, Ryan) (Entered: 10/24/2011) 10/24/ Memorandum of Law in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Hicks, Ryan) Modified on 10/27/2011 (skt). (Entered: 10/24/2011) 10/24/ Appendix in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Hicks, Ryan) (Entered: 10/24/2011) 10/28/ ELECTRONIC ORDER granting 13 Application for Admission Pro Hac Vice of Jeffrey P. Campisi. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 10/28/2011) (chmb) (amv) (Entered: 10/28/2011) 10/31/ ADDITIONAL ATTACHMENTS Certificate of Conference to 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff by Plaintiff Reid Friedman. (Hicks, Ryan) (Entered: 10/31/2011) 11/14/ REPLY filed by Revalon Capital Limited Fund re: 7 MOTION to Appointment, and RESPONSE to 17 MOTION to Appoint Counsel (Claxton, Roger) (Entered: 11/14/2011) 11/17/ Memorandum in Support of 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff, RESPONSE to 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund filed by Reid Friedman (Campisi, Jeffrey) (Entered: 11/17/2011) 11/17/ Appendix in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Campisi, Jeffrey) (Entered: 11/17/2011)

9 12/01/ REPLY filed by Revalon Capital Limited Fund re: 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund (Claxton, Roger) (Entered: 12/01/2011) 12/01/ Appendix in Support filed by Revalon Capital Limited Fund re 25 Reply in support of Revalong's Motion for Appointment as Lead Plaintiff (Claxton, Roger) (Entered: 12/01/2011) 12/01/ REPLY filed by Reid Friedman re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff, 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund (Campisi, Jeffrey) (Entered: 12/01/2011) 01/18/ ORDER deferring ruling on 14 and 17 Motion to appoint Counsel. Hearing set for 9:30 am January 19, 2012.(Ordered by Judge Reed C O'Connor on 1/18/2012) (Judge Reed C O'Connor) (Entered: 01/18/2012) 01/18/2012 Utility Event - Motion Hearing set for 1/19/ :30 AM in US Courthouse, Courtroom 1516, 1100 Commerce St., Dallas, TX before Judge Reed C O'Connor. (Ordered by Judge Reed C O'Connor on 1/18/2012) (chmb) (Entered: 01/18/2012) 01/19/ ELECTRONIC Minute Entry for proceedings held before Judge Reed C O'Connor: Motion Hearing held on 1/19/2011 for 17 Motion to Appoint Counsel, filed by Reid Friedman and 14 Motion for Miscellaneous Relief filed by Revalon Capital Limited Fund. Attorney Appearances: Plaintiff - Jeffrey Campisi; Defense - Michelle Reed, Scott Barnard, Roger Claxton. (Court Reporter: Denver Roden) (No exhibits) Time in Court - :15. (chmb) (Entered: 01/19/2012) 01/19/ ORDER denying 14 Revalong's Motion for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel; granting 17 Friedman's Motion for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel. It is ORDERED that Friedman will be lead Plaintiff in this case. (Ordered by Judge Reed C O'Connor on 1/19/2012) (axm) (Entered: 01/20/2012) 02/03/ Agreed MOTION to Extend Time Regarding Amended Complaint and Briefing Schedule filed by Penson Worldwide Inc (Attachments: # 1 Proposed Order) (Reed, Michelle) (Entered: 02/03/2012) 02/06/ Order Requiring Scheduling Conference and Report for Contents of Scheduling Order: Proposed Scheduling Order due by 3/5/2012. (Ordered by Judge Reed C O'Connor on 2/6/2012) (aaa) (Entered: 02/06/2012) 02/14/ ELECTRONIC ORDER denying 31 Motion to Extend Time. (Ordered by Judge Reed C O'Connor on 2/14/2012) (chmb) (amv) (Entered: 02/14/2012) 02/22/ STATUS REPORT Regarding Contents of Scheduling Order and Request for Extension of Time for Good Cause filed by Reid Friedman. (Campisi, Jeffrey) (Entered: 02/22/2012) 02/23/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Mario M. Choi (Filing fee $25; Receipt number ) filed by Reid Friedman (Attachments: # 1 Proposed Order) (Choi, Mario) (Entered: 02/23/2012)

10 02/24/ ELECTRONIC ORDER granting 35 Application for Admission Pro Hac Vice of Mario M. Choi. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 2/24/2012) (chmb) (amv) (Entered: 02/24/2012) 02/24/ ORDER denying Extension of time requested in 34 Status Report. The Court will enter a separate Scheduling Order. (Ordered by Judge Reed C O'Connor on 2/24/2012) (cea) (Entered: 02/24/2012) 02/24/ SCHEDULING ORDER: Trial on this Court's four-week docket beginning 2/25/2013 before Judge Reed C O'Connor. Joinder of Parties due by 4/24/2012. Amended Pleadings due by 4/24/2012. Motions due by 10/27/2012. Deadline for mediation is on or before 8/27/2012. Discovery due by 9/27/2012. Pretrial Materials due by 1/15/2013. Pretrial Order due by 1/15/2013. (Ordered by Judge Reed C O'Connor on 2/24/2012) (cea) (Entered: 02/24/2012) 02/29/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Laurence D. King (Filing fee $25; Receipt number ) filed by Reid Friedman (Attachments: # 1 Proposed Order) (King, Laurence) (Entered: 02/29/2012) 03/01/ ELECTRONIC ORDER granting 39 Application for Admission Pro Hac Vice of Laurence D. King. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 3/1/2012) (chmb) (amv) (Entered: 03/01/2012) 03/02/ MOTION to Dismiss filed by Kevin W McAleer, Phil Pendergraft, Penson Worldwide Inc with Brief/Memorandum in Support. (Barnard, M) (Entered: 03/02/2012) 03/02/ Appendix in Support filed by Kevin W McAleer, Phil Pendergraft, Penson Worldwide Inc re 41 MOTION to Dismiss (Attachments: # 1 Exhibit(s) 1 - Feb 2011 Form 8-K, # 2 Exhibit(s) 2 - Mar 2011 Form 10-K (part 1), # 3 Exhibit(s) 2 - Mar 2011 Form 10-K (part 2), # 4 Exhibit(s) 3 - May 2011 Form 10-Q, # 5 Exhibit(s) 4 - Aug 2011 Form 8- K, # 6 Exhibit(s) 5 - Aug 2011 Form 10-Q, # 7 Exhibit(s) 6 - Barnard Declaration, # 8 Exhibit(s) 7 - Allied Capital (SDNY 2003), # 9 Exhibit(s) 8 - Barclays (SDNY 2011), # 10 Exhibit(s) 9 - Barrie (ND Tex 2002), # 11 Exhibit(s) 10 - Gap Sec Litig (ND Cal 1988), # 12 Exhibit(s) 11 - Milano (ND Tex 2006), # 13 Exhibit(s) 12 - Osio (DNJ 2006), # 14 Exhibit(s) 13 - Pilgrims Pride (ED Tex 2010), # 15 Exhibit(s) 14 - R2 Invs (ND Tex 2003), # 16 Exhibit(s) 15 - Umsted (ND Tex 2003)) (Barnard, M) (Entered: 03/02/2012) 03/23/ AMENDED COMPLAINT WITH JURY DEMAND against All Defendants filed by Reid Friedman. Clerk to issue summons(es). (Campisi, Jeffrey) (Entered: 03/23/2012) 03/23/ NOTICE OF FILING OF AMENDED COMPLAINT IN RESPONSE TO DEFENDANTS' MOTION TO DISMISS filed by Reid Friedman (Campisi, Jeffrey) (Entered: 03/23/2012) 03/26/ Summons Reissued as to Roger J Engemoen, R Thomas Johnson, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc, Daniel P Son and issued as to BDO Seidman LLP, BDO USA LLP. (cea) (Entered: 03/26/2012) 03/28/ SUMMONS Returned Executed as to BDO Seidman LLP ; served on 3/27/2012; BDO USA LLP ; served on 3/27/2012. (Hurst, Michael) (Entered: 03/28/2012)

11 04/06/ MOTION to Dismiss Plaintiff's Amended Complaint filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s) Appendix 1-48, # 2 Exhibit(s) Appendix 49-84, # 3 Exhibit(s) Appendix , # 4 Exhibit(s) Appendix , # 5 Exhibit(s) Appendix , # 6 Exhibit(s) Appendix , # 7 Exhibit(s) Appendix , # 8 Exhibit(s) Appendix , # 9 Exhibit(s) Appendix ) (Reed, Michelle) Modified on 4/9/2012 to state the appendix attached to this motion was additionally filed at 48 per local rules (cea). (Entered: 04/06/2012) 04/06/ Appendix in Support filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re 47 MOTION to Dismiss Plaintiff's Amended Complaint (Attachments: # 1 Exhibit(s) Appendix 49-84, # 2 Exhibit(s) Appendix , # 3 Exhibit(s) Appendix , # 4 Exhibit(s) Appendix , # 5 Exhibit(s) Appendix , # 6 Exhibit(s) Appendix , # 7 Exhibit(s) Appendix , # 8 Exhibit(s) Appendix ) (Reed, Michelle) (Entered: 04/06/2012) 04/17/ MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support filed by BDO Seidman LLP, BDO USA LLP with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s), # 2 Exhibit(s)) (Pulliam, Jessica) (Entered: 04/17/2012) 04/18/ Unopposed MOTION FOR SUPPLEMENTAL SCHEDULING CONFERENCE filed by Reid Friedman (Campisi, Jeffrey) (Entered: 04/18/2012) 04/20/ MOTION to Dismiss filed by Roger J. Engemoen, Daniel P. Son with Brief/Memorandum in Support. (Barnard, M) (Entered: 04/20/2012) 04/20/ Appendix in Support filed by Roger J. Engemoen, Daniel P. Son re 51 MOTION to Dismiss (Attachments: # 1 Exhibit(s) S/E App ) (Barnard, M) (Entered: 04/20/2012) 04/23/ ORDER denying 50 Motion for Supplemental Scheduling Conference. Accordingly, it is ORDERED that all deadlines in the Scheduling Order are hereby STAYED. (Ordered by Judge Reed C O'Connor on 4/23/2012) (ctf) (Entered: 04/23/2012) 04/25/ MOTION for Leave to File A CONSOLIDATED BRIEF IN EXCESS OF PAGE LIMITATIONS filed by Reid Friedman (Campisi, Jeffrey) (Entered: 04/25/2012) 04/26/ ORDER granting in part 54 Motion for Leave to File A CONSOLIDATED BRIEF IN EXCESS OF PAGE LIMITATIONS. It is ORDERED that if Plaintiff desires to file a consolidated response to Defendants' motions to dismiss, he may do so in a response not exceeding fifty pages. (Ordered by Judge Reed C O'Connor on 4/26/2012) (cea) (Entered: 04/26/2012) 04/27/ MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support filed by R. Thomas Johnson (Weselka, Greg) (Entered: 04/27/2012) 04/27/ Appendix in Support filed by R. Thomas Johnson re 56 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Attachments: # 1 Exhibit(s), # 2 Exhibit(s)) (Weselka, Greg) (Entered: 04/27/2012) 04/27/ CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by R. Thomas Johnson. (Weselka, Greg) (Entered: 04/27/2012) 04/27/ NOTICE OF INTENTION TO FILE A CONSOLIDATED BRIEF IN OPPOSITION TO

12 ALL MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT Reid Friedman (Campisi, Jeffrey) (Entered: 04/27/2012) 04/27/ CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Roger J. Engemoen, Daniel P. Son. (Barnard, M) (Entered: 04/27/2012) filed by 05/18/ Appendix in Support filed by Reid Friedman APPENDIX IN SUPPORT OF LEAD PLAINTIFFS CONSOLIDATED MEMORANDUM OF LAW IN OPPOSITION TO DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT (Attachments: # 1 Exhibit(s) 1, # 2 Exhibit(s) 2, # 3 Exhibit(s) 3, # 4 Exhibit(s) 4, # 5 Exhibit(s) 5, # 6 Exhibit(s) 6, # 7 Exhibit(s) 7, # 8 Exhibit(s) 8, # 9 Exhibit(s) 9, # 10 Exhibit(s) 10, # 11 Exhibit(s) 11, # 12 Exhibit(s) 12, # 13 Exhibit(s) 13, # 14 Exhibit(s) 14, # 15 Exhibit(s) 15, # 16 Exhibit(s) 16, # 17 Exhibit(s) 17, # 18 Exhibit(s) 18, # 19 Exhibit(s) 19, # 20 Exhibit(s) 20, # 21 Exhibit(s) 21, # 22 Exhibit(s) 22, # 23 Exhibit(s) 23, # 24 Exhibit(s) 24, # 25 Exhibit(s) 25, # 26 Exhibit(s) 26) (Campisi, Jeffrey) (Entered: 05/18/2012) 05/19/ Brief/Memorandum in Support filed by Reid Friedman re 61 Appendix in Support,,, IN OPPOSITION TO ALL DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT (Campisi, Jeffrey) Docket text and filer modified on 5/25/2012 (twd). (Entered: 05/19/2012) 05/22/ MOTION for Leave to File MOTION TO DEEM AS TIMELY FILED LEAD PLAINTIFFS CONSOLIDATED MEMORANDUM OF LAW IN OPPOSITION TO ALL DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT filed by Reid Friedman (Campisi, Jeffrey) (Entered: 05/22/2012) 05/25/ ELECTRONIC ORDER granting 63 Motion for Leave to File. (Ordered by Judge Reed C O'Connor on 5/25/2012) (chmb) (amv) (Entered: 05/25/2012) 06/01/ REPLY filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re: 47 MOTION to Dismiss Plaintiff's Amended Complaint (Barnard, M) (Entered: 06/01/2012) 06/01/ Appendix in Support filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re 65 Reply (Attachments: # 1 Compendium of Unpublished Decisions) (Barnard, M) (Entered: 06/01/2012) 06/01/ REPLY filed by Roger J. Engemoen, Daniel P. Son re: 51 MOTION to Dismiss (Barnard, M) (Entered: 06/01/2012) 06/01/ Appendix in Support filed by Roger J. Engemoen, Daniel P. Son re 67 Reply (Attachments: # 1 Compendium of Unpublished Decisions) (Barnard, M) (Entered: 06/01/2012) 06/01/ REPLY filed by BDO Seidman LLP, BDO USA LLP re: 49 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Pulliam, Jessica) (Entered: 06/01/2012) 06/01/ REPLY filed by R. Thomas Johnson re: 56 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Weselka, Greg) (Entered: 06/01/2012) 11/27/ ORDER: Accordingly, the parties are ORDERED to file a status report no later than Thursday, 11/29/2012, clarifying whether or not the parties have reached a settlement

13 agreement. (Ordered by Judge Reed C O'Connor on 11/27/2012) (ctf) (Entered: 11/27/2012) 11/29/ STATUS REPORT filed by Reid Friedman. (Hurst, Michael) (Entered: 11/29/2012) 11/29/ ORDER: The Court has been notified that the above-styled case has settled. Accordingly, the parties are ORDERED to file the necessary dismissal papers with the Clerk's office no later than 12/28/2012. If further proceedings become necessary or desirable, the parties should immediately file a Joint Status Report with the Court. (Ordered by Judge Reed C O'Connor on 11/29/2012) (ctf) (Entered: 11/30/2012) 12/28/ MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR filed by Reid Friedman (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/ Brief/Memorandum in Support filed by Reid Friedman re 74 MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/ Appendix in Support filed by Reid Friedman re 74 MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/ STIPULATION of Settlement by Reid Friedman, Daniel P. Son, Penson Worldwide Inc, Philip A Pendergraft, Kevin W McAleer, Roger J. Engemoen, R. Thomas Johnson, BDO USA LLP, BDO Seidman LLP. (Campisi, Jeffrey) Modified on 12/31/2012 (skt). (Entered: 12/28/2012) 01/18/ NOTICE/SUGGESTION OF BANKRUPTCY Penson Worldwide Inc (Attachments: # 1 Exhibit A) (Barnard, M) (Entered: 01/18/2013) 01/22/ ORDER: The Court takes judicial notice of Defendant Penson Worldwide, Inc.'s Chapter 11 bankruptcy pending in the United States Bankruptcy Court for the District of Delaware. It is hereby ORDERED that this case is stayed until the automatic stay imposed under 11 U.S.C. 362 is no longer in effect or until the parties obtain the relief from the automatic stay required to proceed with this litigation. It is further ORDERED that the parties shall file a status report with this Court within ten days of the lifting of the automatic stay imposed under 11 U.S.C. 362 or discharge of the claims forming the basis of this suit. (Ordered by Judge Reed C O'Connor on 1/22/2013) (tln) (Entered: 01/22/2013) 01/23/ SUGGESTION OF BANKRUPTCY Upon the Record as to Penson Worldwide, Inc. by Penson Worldwide, Inc. (tln) (Entered: 01/23/2013) 04/04/2013 Notice to the Parties: Please be advised that as of Monday, April 8, 2013, Judge Reed C. O'Connor's chambers will be located at 1100 Commerce Street, Room 1312, Dallas, Texas All hearings and trial proceedings will be held in United States District

14 Judges Courtroom 1310, 1100 Commerce Street, Dallas, Texas (drh) (Entered: 04/04/2013) 04/05/ Joint STATUS REPORT filed by BDO Seidman LLP, BDO USA LLP, Roger J. Engemoen, Reid Friedman, R. Thomas Johnson, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc, Daniel P. Son. (Attachments: # 1 Exhibit(s) A) (Barnard, M) (Entered: 04/05/2013) 04/09/ ORDER LIFTING STAY. (Ordered by Judge Reed C O'Connor on 4/9/2013) (tln) (Entered: 04/09/2013) 05/13/ ORDER granting 74 Motion for (I) Preliminary Approval of Settlement; (II) Preliminary Certification of the Settlement Class; (III) Approval of Form and Manner of Notice; and (IV) Appointment of Settlement Administrator. Final Settlement Approval Hearing set for 8/23/ :00 AM before Judge Reed C O'Connor. (Ordered by Judge Reed C O'Connor on 5/13/2013) (ndt) (Entered: 05/13/2013) 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