U.S. District Court District of Columbia (Washington, DC) CIVIL DOCKET FOR CASE #: 1:11-cv ABJ

Transcription

1 US District Court Civil Docket as of June 12, 2013 Retrieved from the court on July 1, 2013 U.S. District Court District of Columbia (Washington, DC) CIVIL DOCKET FOR CASE #: 1:11-cv ABJ PHELPS v. STOMBER et al Assigned to: Judge Amy Berman Jackson Cases: 1:11-cv ABJ 1:11-cv ABJ 1:11-cv ABJ Case in other court: Cause: 15:78m(a) Securities Exchange Act Plaintiff E. L. PHELPS individually and on behalf of all others similarly situated Date Filed: 06/21/2011 Date Terminated: 08/14/2012 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Joel Davidow CUNEO GILBERT & LADUCA, LLP 507 C Street, NE Washington, DC (202) Fax: (202) joel@cuneolaw.com Jonathan Watson Cuneo CUNEO GILBERT & LADUCA, LLP 507 C Street, NE Washington, DC (202) Fax: (202) jonc@cuneolaw.com Matthew E. Miller CUNEO GILBERT & LADUCA, LLP 507 C Street, NE Washington, DC (202) Fax: (202) mmiller@cuneolaw.com Richard D. Greenfield GREENFIELD & GOODMAN, LLC

2 250 Hudson Street 8th Floor New York, NY (917) Fax: (410) Plaintiff JONATHAN GLAUBACH 11cv Individually and on behalf of all others similarly situated represented by Brian O. O'Mara ROBBINS GELLER RUDMAN & DOWD LLP 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) bomara@rgrdlaw.com Roger M. Adelman LAW OFFICE OF ROGER M. ADELMAN 1100 Connecticut Avenue, NW Suite 730 Washington, DC (202) Fax: (202) radelman@erols.com Christopher P. Seefer ROBBINS GELLER RUDMAN & DOWD LLP Post Montgomery Center One Montgomery Street Suite 1800 San Francisco, CA (415) Fax: (415) chriss@rgrdlaw.com PRO HAC VICE Darren J. Robbins ROBBINS GELLER RUDMAN & DOWD LLP

3 Plaintiff 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) PRO HAC VICE Mark Solomon ROBBINS GELLER RUDMAN & DOWD LLP 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) PRO HAC VICE Robert M. Rothman ROBBINS GELLER RUDMAN & DOWD LLP 58 South Service Road Suite 200 Melville, NY (631) Fax: (631) PRO HAC VICE S. Ashar Ahmed ROBBINS GELLER RUDMAN & DOWD LLP Post Montgomery Center One Montgomery Street Suite 1800 San Francisco, CA (415) Fax: (415) PRO HAC VICE S. M. LISS represented by Joel Davidow Individually and on behalf of all others similary situated

4 Jonathan Watson Cuneo Matthew E. Miller Richard D. Greenfield Plaintiff W. F. SCHAEFER Individually and on behalf of all others similary situated represented by Joel Davidow Plaintiff Jonathan Watson Cuneo Matthew E. Miller Richard D. Greenfield D. J. WU represented by Joel Davidow Individually and on behalf of all others similary situated Jonathan Watson Cuneo Matthew E. Miller

5 Plaintiff Richard D. Greenfield M. J. MCLISTER represented by Joel Davidow Individually and on behalf of all others similary situated Jonathan Watson Cuneo Matthew E. Miller Richard D. Greenfield V. Defendant JOHN CRUMPTON STOMBER represented by Richard Hackney Wiegmann WILLIAMS & CONNOLLY LLP 725 Twelfth Street, NW Washington, DC (202) Fax: (202) Robert A. Van Kirk WILLIAMS & CONNOLLY LLP 725 Twelfth Street, NW Washington, DC (202) Fax: (202)

6 Sarah F. Teich WILLIAMS & CONNOLLY LLP 725 Twelfth Street, NW Washington, DC (202) Fax: (202) Defendant WILLIAM ELIAS CONWAY, JR. represented by Richard Hackney Wiegmann Robert A. Van Kirk Sarah F. Teich Defendant JAMES H. HANCE, JR. represented by Richard Hackney Wiegmann Robert A. Van Kirk Sarah F. Teich Defendant MICHAEL J. ZUPON represented by Richard Hackney Wiegmann

7 Robert A. Van Kirk Sarah F. Teich Defendant ROBERT BARCLAY ALLARDICE, III represented by Alison C. Barnes ROBBINS, RUSSELL, ENGLERT, ORSECK, UNTEREINER & SAUBER LLP 1801 K Street, NW Suite 411-L Washington, DC (202) Fax: (202) abarnes@robbinsrussell.com Gary A. Orseck ROBBINS, RUSSELL, ENGLERT, ORSECK, UNTEREINER & SAUBER LLP 1801 K Street, NW Suite 411-L Washington, DC (202) Fax: (202) gorseck@robbinsrussell.com Defendant HARVEY JAY SARLES represented by Alison C. Barnes Gary A. Orseck Defendant

8 JOHN LEONARD LOVERIDGE represented by Alison C. Barnes Gary A. Orseck Defendant CARLYLE INVESTMENT MANAGEMENT, LLC represented by Richard Hackney Wiegmann Robert A. Van Kirk Sarah F. Teich Defendant T.C. GROUP, LLC represented by Richard Hackney Wiegmann Robert A. Van Kirk Sarah F. Teich Defendant TC GROUP HOLDINGS, LLC represented by Richard Hackney Wiegmann Robert A. Van Kirk

9 Sarah F. Teich Defendant CARLYLE CAPITAL CORP. 11cv1143 TERMINATED: 12/05/2011 Defendant CARLYLE CAPITAL CORPORATION LIMITED 11cv1523 represented by Claire Angela Delelle LEWIS BAACH PLLC 1201 F Street, NW Suite 500 Washington, DC (202) Fax: (202) claire.delelle@lewisbaach.com Eric Leslie Lewis LEWIS BAACH PLLC 1899 Pennsylvania Ave, NW Suite 600 Washington, DC (202) Fax: (202) eric.lewis@lewisbaach.com H. Bradford Glassman LEWIS BAACH PLLC 1201 F Street, NW Suite 500 Washington, DC (202) Fax: (202) brad.glassman@lewisbaach.com Date Filed # Docket Text

10 06/21/ /21/ COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, CRUMPTON JOHN STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON ( Filing fee $ 350, receipt number ) filed by E. L. PHELPS. (Attachments: # 1 Civil Cover Sheet)(jf, ) (Entered: 06/22/2011) Summons (10) Issued as to ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, CRUMPTON JOHN STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (jf, ) (Entered: 06/22/2011) 08/01/ STIPULATION Waiving Formal Service and (proposed) Order Extending time to Respond to the Complaint by E. L. PHELPS. (Miller, Matthew) (Entered: 08/01/2011) 08/01/2011 MINUTE ORDER re 2 Stipulation Waiving Formal Service and Proposed Order Extending Time to Respond to the Complaint. The Court grants the Proposed Order Extending Time to Respond to the Complaint. The Response is due 9/28/2011. Signed by Judge Amy Berman Jackson on 8/1/2011. (MT) (Entered: 08/01/2011) 08/08/2011 Set/Reset Deadlines: Defendants' Response to Plaintiff's Complaint is due by 9/28/2011. (jth) (Entered: 08/08/2011) 08/22/ MOTION Appointment of lead plaintiff(s) and approval of selection of counsel by E. L. PHELPS (Attachments: # 1 Exhibit Exh A - McLister Certification, # 2 Exhibit B - Wu Certification, # 3 Exhibit C - Liss Certification, # 4 Exhibit D - Schaefer Certification)(Miller, Matthew) (Entered: 08/22/2011) 08/22/ MOTION to Appoint Counsel ; Statement of Points and Authorities in Response to PSLRA filed by Interested Party Jonathan Glaubach by E. L. PHELPS (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Adelman, Roger) (Entered: 08/22/2011) 08/22/ MEMORANDUM re (3 in 1:11-cv ABJ, 3 in 1:11-cv ABJ) MOTION Appointment of lead plaintiff(s) and approval of selection of counsel MOTION Appointment of lead plaintiff(s) and approval of selection of counsel filed by E. L. PHELPS by E. L. PHELPS. (Miller, Matthew) (Entered: 08/22/2011) 08/22/ /23/ AFFIDAVIT re (3 in 1:11-cv ABJ, 3 in 1:11-cv ABJ) MOTION Appointment of lead plaintiff(s) and approval of selection of counsel MOTION Appointment of lead plaintiff(s) and approval of selection of counsel (Declaration of Matthew E. Miller and exhibits) by E. L. PHELPS. (Attachments: # 1 Exhibit Exh. 1, # 2 Exhibit Exh. 2, # 3 Exhibit Exh. 3, # 4 Exhibit Exh. 4)(Miller, Matthew) (Entered: 08/22/2011) 7 NOTICE OF STATUTORY AUTHORITY PERMITTING A NONPARTY CLASS MEMBER TO MOVE FOR APPOINTMENT AS LEAD PLAINTIFF IN A FEDERAL SECURITIES CLASS ACTION by E. L. PHELPS (Miller, Matthew) (Entered: 08/23/2011) 08/24/ AFFIDAVIT re (3 in 1:11-cv ABJ, 3 in 1:11-cv ABJ) MOTION Appointment of lead plaintiff(s) and approval of selection of counsel MOTION

11 Appointment of lead plaintiff(s) and approval of selection of counsel (Corrected Exhibit A - complete McLister Certification) by E. L. PHELPS. (Miller, Matthew) (Entered: 08/24/2011) 09/08/ /08/ Memorandum in opposition to re 3 MOTION Appointment of lead plaintiff(s) and approval of selection of counsel MOTION Appointment of lead plaintiff(s) and approval of selection of counsel by Jonathan Glaubach filed by E. L. PHELPS. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(O'Mara, Brian) (Entered: 09/08/2011) 10 MOTION to Consolidate Cases by E. L. PHELPS (Attachments: # 1 Memorandum in Support)(Miller, Matthew) (Entered: 09/08/2011) 09/08/ Memorandum in opposition to re 4 MOTION to Appoint Counsel ; Statement of Points and Authorities in Response to PSLRA filed by Interested Party Jonathan Glaubach filed by E. L. PHELPS. (Attachments: # 1 Affidavit Declaration of Matthew E. Miller in Opposition, # 2 Exhibit Exh. 1, # 3 Exhibit Exh. 2, # 4 Exhibit Exh. 3)(Miller, Matthew) (Entered: 09/08/2011) 09/14/ Unopposed MOTION for Extension of Time to Move for Class Certification by E. L. PHELPS (Attachments: # 1 Text of Proposed Order)(Miller, Matthew) (Entered: 09/14/2011) 09/14/ STIPULATION Extending Time to Respond to the Complaint by E. L. PHELPS. (Miller, Matthew) (Entered: 09/14/2011) 09/16/2011 NOTICE of Hearing: Status Conference scheduled for 10/6/2011 at 10:00 AM in Courtroom 3 before Judge Amy Berman Jackson. (jth) (Entered: 09/16/2011) 09/16/ NOTICE of Appearance by Robert A. Van Kirk on behalf of CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, CRUMPTON JOHN STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Van Kirk, Robert) (Entered: 09/16/2011) 09/16/2011 MINUTE ORDER granting 12 Motion for Extension of Time to File Motion for Class Certification. The motion for class certification will be due 10/19/2011. Signed by Judge Amy Berman Jackson on 9/16/2011. (MT) (Entered: 09/16/2011) 09/16/2011 Set/Reset Deadlines: Motions for Class Certification due by 10/19/2011. (jth) (Entered: 09/16/2011) 09/19/ REPLY to opposition to motion re 3 MOTION Appointment of lead plaintiff(s) and approval of selection of counsel MOTION Appointment of lead plaintiff(s) and approval of selection of counsel filed by E. L. PHELPS. (Miller, Matthew) (Entered: 09/19/2011) 09/19/ REPLY to opposition to motion re 4 MOTION to Appoint Counsel ; Statement of Points and Authorities in Response to PSLRA filed by Interested Party Jonathan Glaubach filed by E. L. PHELPS. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(O'Mara, Brian) (Entered: 09/19/2011) 09/26/ Memorandum in opposition to re 10 MOTION to Consolidate Cases by Jonathan Glaubach filed by E. L. PHELPS. (Attachments: # 1 Exhibit 1)(O'Mara, Brian) (Entered: 09/26/2011)

12 09/29/ NOTICE of Appearance by Gary A. Orseck on behalf of ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES (Orseck, Gary) (Entered: 09/29/2011) 10/05/ REPLY to opposition to motion re (3 in 1:11-cv ABJ, 10 in 1:11-cv ABJ, 8 in 1:11-cv ABJ) MOTION to Consolidate Cases filed by E. L. PHELPS. (Miller, Matthew) (Entered: 10/05/2011) 10/05/ NOTICE of Appearance by Joel Davidow on behalf of E. L. PHELPS (Davidow, Joel) (Entered: 10/05/2011) 10/05/ NOTICE of Appearance by Sarah F. Teich on behalf of CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (dr) (Entered: 10/07/2011) 10/06/2011 Minute Entry for proceedings held before Judge Amy Berman Jackson: Status Conference held on 10/6/2011. Joint Status Report and Proposed Briefing Schedule on Motions to Dismiss due by 10/28/2011. Status Conference set for 11/10/2011 at 10:00 AM in Courtroom 3 before Judge Amy Berman Jackson. (Court Reporter Lisa Schwam) (jth) (Entered: 10/06/2011) 10/06/ NOTICE of Appearance by Jonathan Watson Cuneo on behalf of E. L. PHELPS (Cuneo, Jonathan) (Entered: 10/06/2011) 10/07/ ORDER granting 10 Motion to Consolidate Cases. It is ORDERED that 11cv1143 and 11cv1523 are consolidated with 11cv1142. It is FURTHER ORDERED that the Clerk's Office close 11cv1143 and transfer defendant Carlyle Capital Corp. to 11cv1142. It is FURTHER ORDERED that the Clerk's Office close 11cv1523 and transfer plaintiff Jonathan Glaubach and defendant Carlyle Capital Corporation Limited to 11cv1142. And it is FURTHER ORDERED that all filings with this Court SHALL BE FILED ONLY in 11cv1142. Signed by Judge Amy Berman Jackson on 10/7/2011. Signed by Judge Amy Berman Jackson on 10/7/2011. (MT) (Entered: 10/07/2011) 10/07/2011 MINUTE ORDER Pursuant to LCvR23.1(b), the Court extends the time period for plaintiffs to move for class certification until a date in accordance with a schedule to be issued after the Courts ruling on the motions to dismiss. The Court will also take up the motion to appoint lead plaintiffs at that time. Signed by Judge Amy Berman Jackson on 10/7/2011. (lcabj2) (Entered: 10/07/2011) 10/21/ /24/ AMENDED CLASS ACTION COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE CAPITAL CORP., CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON filed by JONATHAN GLAUBACH.(znmw, ) Modified on 10/21/2011 to correct filer (jf, ). (Main Document 24 replaced on 10/26/2011) (dr). (Entered: 10/21/2011) Summons (1)Issued as to CARLYLE CAPITAL CORPORATION LIMITED. (ls, ) (Entered: 10/24/2011) 10/27/ MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Christopher P. Seefer,

13 :Firm- Robbins Geller Rudman & Dowd LLP, :Address- Post Montgomery Center, One Montgomery Street, Suite 1800, San Francisco, CA Phone No Fax No by JONATHAN GLAUBACH (Attachments: # 1 Exhibit A - Proposed Order, # 2 Exhibit B - Declaration of Christopher P. Seefer)(Adelman, Roger) (Entered: 10/27/2011) 10/27/ MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Robert M. Rothman, :Firm- Robbins Geller Rudman & Dowd LLP, :Address- 58 South Service Road, Suite 200, Melville, NY Phone No Fax No by JONATHAN GLAUBACH (Attachments: # 1 Exhibit A - Proposed Order, # 2 Exhibit B - Declaration of Robert M. Rothman)(Adelman, Roger) (Entered: 10/27/2011) 10/27/ AMENDED COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE CAPITAL CORPORATION LIMITED, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON filed by E. L. PHELPS, S. M. LISS, W. F. SCHAEFER, D. J. WU, M. J. MCLISTER. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(znmw, ) (Entered: 10/28/2011) 10/28/2011 MINUTE ORDER granting 25 Motion for Leave of Christopher P. Seefer to Appear Pro Hac Vice only upon condition that the lawyer admitted, or at least one member of the lawyer's firm, undergo CM/ECF training, obtain CM/ECF username and password, and agree to file papers electronically. No court papers will be mailed to any lawyer. Signed by Judge Amy Berman Jackson on 10/28/2011. (MT) (Entered: 10/28/2011) 10/28/2011 MINUTE ORDER granting 26 Motion for Leave of Robert M. Rothman to Appear Pro Hac Vice only upon condition that the lawyer admitted, or at least one member of the lawyer's firm, undergo CM/ECF training, obtain CM/ECF username and password, and agree to file papers electronically. No court papers will be mailed to any lawyer. Signed by Judge Amy Berman Jackson on 10/28/2011. (MT) (Entered: 10/28/2011) 10/28/ STIPULATION for Briefing Schedule on Motions to Dismiss by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Attachments: # 1 Text of Proposed Order)(Teich, Sarah) (Entered: 10/28/2011) 11/02/2011 MINUTE ORDER Plaintiffs filed amended complaints [Dkt. # 24 and #27] that do not appear to comply with Fed. R. Civ. P. 15 and LCvR 7(i). Plaintiffs are directed to file any appropriate motions in connection with the amended complaints by 11/9/2011. It is further ordered that the Court adopts the joint stipulation and proposed order for briefing on motions to dismiss [Dkt. # 28] with the exception that all motions and briefs must comply with the page limits set forth in LCvR 7(e). Signed by Judge Amy Berman Jackson on 11/2/2011. (lcabj2) (Entered: 11/02/2011) 11/03/ SCHEDULING ORDER. Signed by Judge Amy Berman Jackson on 11/3/2011. (lcabj2) (Entered: 11/03/2011) 11/03/2011 Set/Reset Deadlines: Plaintiffs are directed to file any appropriate motions in connection with the amended complaints by 11/9/2011. Defendants' separate motions to dismiss and supporting memoranda of law in response to the complaints are due by

14 12/20/2011. Plaintiff's separate briefs in opposition to each of the Defendants' motions to dismiss are due by 2/20/2012. Defendants' separate reply briefs in further support of their motions to dismiss are due by 3/21/2012. The parties will comply with the page limits set forth in Local Civil Rule 7(e). (jth) (Entered: 11/03/2011) 11/04/2011 MINUTE ORDER Counsel for defendant Carlyle Capital Corporation Limited has not entered an appearance in this matter but has sought to communicate with the Court via mail. The parties should be aware of LCvR 5.1(b), which prohibits this type of communication. The Court encourages counsel for CCC to attend the status hearing on 11/10/2011 at 10 a.m. in Courtroom 3 or to file the appropriate pleadings if there are any issues that need to be brought to the Court's attention on CCC's behalf. The deputy clerk is directed to transmit a copy of this minute order electronically to Counsel for CCC at the address noted on the letter. Signed by Judge Amy Berman Jackson on 11/4/2011. (lcabj2) (Entered: 11/04/2011) 11/07/ MOTION for Leave to File Amended Class Action Complaint for Violation of Section 90 of the United Kingdom's Financial Services and Markets Act 2000 by JONATHAN GLAUBACH (Attachments: # 1 Exhibit A - Amended Complaint, # 2 Exhibit B - Defendants' Letter of Consent)(Adelman, Roger) (Entered: 11/07/2011) 11/09/2011 MINUTE ORDER granting 30 Motion for Leave to File Amended Complaint nunc pro tunc. Signed by Judge Amy Berman Jackson on 11/9/2011. (lcabj2) (Entered: 11/09/2011) 11/09/ MOTION for Leave to File Amended Complaint by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Exhibit Exh. A - Amended Complaint, # 2 Memorandum in Support)(Miller, Matthew) (Entered: 11/09/2011) 11/09/2011 MINUTE ORDER granting 31 Motion for Leave to File Amended Complaint nunc pro tunc. Signed by Judge Amy Berman Jackson on 11/9/2011. (lcabj2) (Entered: 11/09/2011) 11/09/ /09/ /10/ AMENDED COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE CAPITAL CORP., CARLYLE CAPITAL CORPORATION LIMITED, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON filed by JONATHAN GLAUBACH.(jf, ) (Entered: 11/09/2011) 33 AMENDED COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE CAPITAL CORP., CARLYLE CAPITAL CORPORATION LIMITED, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON filed by E. L. PHELPS, W. F. SCHAEFER, S. M. LISS, D. J. WU, M. J. MCLISTER.(jf, ) (Entered: 11/09/2011) Minute Entry for proceedings held before Judge Amy Berman Jackson: Status Conference held on 11/10/2011. (Court Reporter Lisa Schwam) (jth) (Entered: 11/10/2011)

15 11/10/ NOTICE of Appearance by Eric Leslie Lewis on behalf of CARLYLE CAPITAL CORPORATION LIMITED (Lewis, Eric) (Entered: 11/10/2011) 11/14/ NOTICE of Appearance by H. Bradford Glassman on behalf of CARLYLE CAPITAL CORPORATION LIMITED (jf, ) (Entered: 11/16/2011) 11/15/ RETURN OF SERVICE/AFFIDAVIT of Summons and Complaint Executed. CARLYLE CAPITAL CORPORATION LIMITED served on 11/10/2011, answer due 12/1/2011 (Ahmed, S.) (Entered: 11/15/2011) 11/16/ MEMORANDUM OPINION & ORDER granting 3 Motion for appointment as lead plaintiff; denying 4 Motion for appointment as lead plaintiff. Signed by Judge Amy Berman Jackson on 11/16/2011. (lcabj2) (Entered: 11/16/2011) 11/16/2011 Set/Reset Deadlines: Lead Plaintiff's Amended Complaint due by 12/5/2011. If an Amended Consolidated Complaint is filed, the following schedule will apply: Motions to Dismiss due by 1/10/2012; Oppositions due by 2/24/2012; Replies to Oppositions due by 3/21/2012. (tg, ) (Entered: 11/17/2011) 11/28/ ENTERED IN ERROR...MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel by JONATHAN GLAUBACH (Rothman, Robert) Modified on 11/29/2011 (jf, ). (Entered: 11/28/2011) 11/28/ MEMORANDUM re 38 MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel filed by JONATHAN GLAUBACH by JONATHAN GLAUBACH. (Rothman, Robert) (Entered: 11/28/2011) 11/28/ MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel by JONATHAN GLAUBACH (Attachments: # 1 Text of Proposed Order)(Rothman, Robert) Modified on 11/29/2011 (jf, ). (Entered: 11/28/2011) 11/29/2011 NOTICE OF ERROR re 38 Motion for Reconsideration; ed to rrothman@rgrdlaw.com, cc'd 19 associated attorneys -- The PDF file you docketed contained errors: 1. DO NOT REFILE : Login/Password used should match the signature page (jf, ) (Entered: 11/29/2011) 11/29/2011 NOTICE OF CORRECTED DOCKET ENTRY: Document No. re 38 MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel was entered in error and refiled by counsel. (See Docket Entry 40 to view document) (jf, ) (Entered: 11/29/2011) 11/29/2011 NOTICE OF ERROR re 40 Motion for Reconsideration; ed to rrothman@rgrdlaw.com, cc'd 19 associated attorneys -- The PDF file you docketed contained errors: 1. DO NOT REFILE : Search Event Field - there is an event for proposed orders omitted from orig. filing (jf, ) (Entered: 11/29/2011) 11/29/ Amended Memorandum re 40 Motion for Reconsideration of the Court's November 16, 2011 Opinion by JONATHAN GLAUBACH (Adelman, Roger) Modified on 11/29/2011 (jf, ). (Entered: 11/29/2011) 12/05/ CONSOLIDATED AMENDED COMPLAINT against ROBERT BARCLAY ALLARDICE, III, CARLYLE CAPITAL CORPORATION LIMITED, CARLYLE

16 INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON filed by E. L. PHELPS, W. F. SCHAEFER, S. M. LISS, D. J. WU, M. J. MCLISTER. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(znmw, ) (Entered: 12/05/2011) 12/15/ Memorandum in opposition to re 40 MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Cuneo, Jonathan) (Entered: 12/15/2011) 12/16/ NOTICE of Transferred Case by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Exhibit Transfer Order (PKC))(Orseck, Gary) (Entered: 12/16/2011) 12/19/2011 MINUTE ORDER In light of defendants' statement that Wu v. New York is duplicative and should be dismissed, plaintiffs are directed to notify the Court of its position as to whether the Wu action should be consolidated or dismissed by January 4, Signed by Judge Amy Berman Jackson on 12/19/2011. (lcabj2) (Entered: 12/19/2011) 12/19/2011 Set/Reset Deadlines: In light of defendants' statement that Wu v. New York is duplicative and should be dismissed, plaintiffs are directed to notify this Court of its position as to whether the Wu action should be consolidated or dismissed by 1/4/2012. (jth) (Entered: 12/29/2011) 12/21/ Unopposed MOTION for Extension of Time to respond to Consolidated Amended Complaint, Unopposed MOTION for Leave to File memoranda exceeding the limit prescribed by LCvR 7(e) by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Text of Proposed Order)(Orseck, Gary) (Entered: 12/21/2011) 12/23/2011 MINUTE ORDER granting 45 Unopposed Motion for Extension of Time. The response to the Consolidated Amended Complaint will be due 1/17/2012. Defendants may allocate a total of 100 pages between themselves for memoranda in support of motions to dismiss; plaintiffs may allocate a total of 100 pages among the oppositions or file a single opposition not to exceed that total. However, given the grant of additional time for the purpose of refining the arguments, all parties are strongly encouraged not to assume that 100 pages are actually necessary; repetition rarely strengthens an argument, and it often has the opposite effect. Signed by Judge Amy Berman Jackson on 12/23/2011. (MT) (Entered: 12/23/2011) 12/23/2011 Set/Reset Deadlines: The response to the Consolidated Amended Complaint or motions to dismiss are due by 1/17/2012. Defendants may allocate a total of 100 pages between themselves for memoranda in support of motions to dismiss. plaintiffs may allocate a total of 100 pages among the oppositions or file a single opposition not to exceed that

17 I total. (jth) (Entered: 12/29/2011) 12/27/ REPLY to opposition to motion re 40 MOTION for Reconsideration re 37 Order on Motion for Miscellaneous Relief, Order on Motion to Appoint Counsel Jonathan Glaubach's Reply Memorandum of Law in Further support of His Motion for Reconsideration of the Court's November 16, 2011 Opinion filed by JONATHAN I GLAUBACH. (O'Mara, Brian) (Entered: 12/27/2011) 12/29/ TRANSCRIPT OF PROCEEDINGS before Judge Amy Berman Jackson held on ; Page Numbers: Court Reporter/Transcriber Lisa Schwam, Telephone number , Court Reporter Address : LisaSchwam@aol.com. For the first 90 days after this filing date, the transcript may be viewed at the courthouse at a public terminal or purchased from the court reporter referenced above. After 90 days, the transcript may be accessed via PACER. Other transcript formats, (multi-page, condensed, CD or ASCII) may be purchased from the court reporter. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have twenty-one days to file with the court and the court reporter any request to redact personal identifiers from this transcript. If no such requests are filed, the transcript will be made available to the public via PACER without redaction after 90 days. The policy, which includes the five personal identifiers specifically covered, is located on our website at ww.dcd.uscourts.gov. Redaction Request due 1/19/2012. Redacted Transcript Deadline set for 1/29/2012. Release of Transcript Restriction set for 3/28/2012.(Schwam, Lisa) (Entered: 12/29/2011) 12/29/ TRANSCRIPT OF PROCEEDINGS before Judge Amy Berman Jackson held on ; Page Numbers: Court Reporter/Transcriber Lisa Schwam, Telephone number , Court Reporter Address : LisaSchwam@aol.com. For the first 90 days after this filing date, the transcript may be viewed at the courthouse at a public terminal or purchased from the court reporter referenced above. After 90 days, the transcript may be accessed via PACER. Other transcript formats, (multi-page, condensed, CD or ASCII) may be purchased from the court reporter. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have twenty-one days to file with the court and the court reporter any request to redact personal identifiers from this transcript. If no such requests are filed, the transcript will be made available to the public via PACER without redaction after 90 days. The policy, which includes the five personal identifiers specifically covered, is located on our website at ww.dcd.uscourts.gov. Redaction Request due 1/19/2012. Redacted Transcript Deadline set for 1/29/2012. Release of Transcript Restriction set for 3/28/2012.(Schwam, Lisa) (Entered: 12/29/2011) 12/30/ RESPONSE TO ORDER OF THE COURT re Order, (statement in response to Order of December 19, 2011) filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Miller, Matthew) (Entered: 12/30/2011) 01/17/ Consent MOTION for Extension of Time to Respond to Consolidated Amended Complaint by CARLYLE CAPITAL CORPORATION LIMITED (Attachments: # 1

18 I Text of Proposed Order)(Glassman, H.) (Entered: 01/17/2012) 01/17/ MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss by ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES (Attachments: # 1 Memorandum in Support, # 2 Text of Proposed Order)(Orseck, Gary) (Entered: 01/17/2012) 01/17/ MOTION to Dismiss and Memorandum in Support by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Text of Proposed Order, # 2 Exhibit Index of Exhibits, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Exhibit, # 12 Exhibit, # 13 Exhibit, # 14 Exhibit, # 15 Exhibit, # 16 Exhibit, # 17 Exhibit, # 18 Exhibit)(Van Kirk, Robert) (Entered: 01/17/2012) 01/18/2012 MINUTE ORDER granting 50 Consent Motion for Extension of Time to Respond to the Consolidated Amended Complaint. The response will be due 2/14/2012. Signed by Judge Amy Berman Jackson on 1/18/2012. (MT) (Entered: 01/18/2012) 01/18/2012 Set/Reset Deadline: The response/answer to the consolidated amended complaint by Carlyle Capital Corporation Limited is now due by 2/14/2012. (jth) (Entered: 01/25/2012) 01/24/ NOTICE of Appearance by Alison C. Barnes on behalf of ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES (Barnes, Alison) (Entered: 01/24/2012) 01/27/ Unopposed MOTION for Extension of Time to File Response/Reply as to 52 MOTION to Dismiss and Memorandum in Support, 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Miller, Matthew) (Entered: 01/27/2012) 01/30/2012 MINUTE ORDER granting 54 Motion for Extension of Time to File Response and Reply re 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss, 52 MOTION to Dismiss and Memorandum in Support. The response will be due 3/9/2012 and the reply will be due 4/4/2012. Signed by Judge Amy Berman Jackson on 1/30/2012. (MT) (Entered: 01/30/2012) 02/10/ MOTION for Extension of Time to Respond to Consolidated Amended Complaint by CARLYLE CAPITAL CORPORATION LIMITED (Attachments: # 1 Exhibit A, # 2 Text of Proposed Order)(Glassman, H.) (Entered: 02/10/2012) 02/10/2012 MINUTE ORDER granting 55 defendant Carlyle Capital Corporation Limited's Motion for Extension of Time to Respond to the Consolidated Amended Complaint. CCC's responsive pleading will be due 30 days following the date on which the Court rules on the motions to dismiss filed by the director and Carlyle entity defendants. Signed by Judge Amy Berman Jackson on 2/10/2012. (lcabj2) (Entered: 02/10/2012) 03/09/ Memorandum in opposition to re 52 MOTION to Dismiss and Memorandum in

19 03/12/ Support, 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Attachments: # 1 Affidavit Decl of Jan Hedrik Crucq, # 2 Exhibit Crucq Decl. Exh. 1, # 3 Exhibit Crucq Decl Exh 2, # 4 Affidavit Decl of Matthew E. Miller, # 5 Exhibit Miller Decl Exh. A, # 6 Exhibit Miller Decl. Exh. B, # 7 Exhibit Miller Decl. Exh. C, # 8 Exhibit Miller Decl. Exh. D, # 9 Exhibit Miller Decl. Exh. E, # 10 Exhibit Miller Decl. Exh. F, # 11 Exhibit Miller Decl. Exh. G, # 12 Exhibit Miller Decl. Exh. H)(Miller, Matthew) (Entered: 03/09/2012) Unopposed MOTION for Extension of Time to File Response/Reply as to 52 MOTION to Dismiss and Memorandum in Support, 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Text of Proposed Order)(Van Kirk, Robert) (Entered: 03/12/2012) 03/13/2012 MINUTE ORDER granting 57 Unopposed Motion for Extension of Time to File Replies re 51 MOTION to Dismiss the Consolidated Complaint and Joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss, 52 MOTION to Dismiss and Memorandum in Support. The replies will be due 4/13/2012. Signed by Judge Amy Berman Jackson on 3/13/2012. (MT) (Entered: 03/13/2012) 03/13/ MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Memorandum in Support, # 2 Affidavit Decl. of Richard D. Greenfield, # 3 Text of Proposed Order)(Miller, Matthew) (Entered: 03/13/2012) 03/27/ /27/ Memorandum in opposition to re 58 MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) and Joinder in the Carlyle Defendants' Memorandum In Opposition to Plaintiffs' Motion To Strike Exhibits filed by ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES. (Orseck, Gary) (Entered: 03/27/2012) Memorandum in opposition to re 58 MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) filed by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Attachments: # 1 Appendix Documents Referenced in Complaint)(Teich, Sarah) (Entered: 03/27/2012) 03/30/2012 NOTICE of Hearing on Motions: 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss, 52 MOTION to Dismiss and Memorandum in Support : Motions Hearing

20 04/06/ scheduled for 5/23/2012 at 10:00 AM in Courtroom 3 before Judge Amy Berman Jackson. (jth) (Entered: 03/30/2012) REPLY to opposition to motion re 58 MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) MOTION to Strike 52 MOTION to Dismiss and Memorandum in Support (to strike certain exhibits appended to, and references in, Doc. No. 52) filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Miller, Matthew) (Entered: 04/06/2012) 04/13/ REPLY to opposition to motion re 52 MOTION to Dismiss and Memorandum in Support and Joinder in The Carlyle Defendants' Reply In Further Support Of Their Motion To Dismiss The Complaint filed by ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES. (Orseck, Gary) (Entered: 04/13/2012) 04/13/ REPLY to opposition to motion re 52 MOTION to Dismiss and Memorandum in Support filed by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Attachments: # 1 Declaration of Kitty Lieverse and Sidney Berendsen)(Van Kirk, Robert) (Entered: 04/13/2012) /20/ MEMORANDUM OPINION AND ORDER denying 40 Motion for Reconsideration. Signed by Judge Amy Berman Jackson on 4/20/2012. (lcabj2) (Main Document 64 replaced on 4/20/2012 to reflect the correct signature date of 4/20/2012) (jth). (Entered: 04/20/2012) 05/21/ NOTICE OF SUPPLEMENTAL AUTHORITY by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Exhibit)(Van Kirk, Robert) (Entered: 05/21/2012) 05/23/ /24/2012 Minute Entry for Proceedings held before Judge Amy Berman Jackson: Motions Hearing held on 5/23/2012 re: 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss, 52 MOTION to Dismiss and Memorandum in Support, 58 MOTION to Strike. The Motions were Heard and Taken Under Advisement. Plaintiffs directed to file a Supplemental Chart by 5/29/2012, Defendants directed to file a Supplemental Chart in response to the Chart submitted by Plaintiffs by 6/1/2012. (Court Reporters: Lisa Walker Griffith and Pat Kaneshiro-Miller) (jth) (Entered: 05/23/2012) MINUTE ORDER Plaintiff Glaubach may file an individual opposition - not to exceed 10 pages - to the motions to dismiss Count VI of the consolidated complaint, that is, the claim based on Section 90 of the United Kingdom's Financial Service and Markets Act 2000, by June 6, If they deem it necessary, defendants Stomber, Conway, Hance, Zupon, Allardice, Sarles, Loveridge, CIM, TC Group, and TCG Holdings may file a combined reply not to exceed 5 pages, and which may not repeat any arguments or cite any authority already set forth in the memoranda in support of the motions to dismiss - by June 14, Counsel for plaintiff Glaubach are hereby ORDERED to file a notice on or before June 1, 2012 explaining their failure to attend the May 23, 2012 hearing in

21 this matter, which was noticed by the Court on March 30, 2012, and providing good cause for why the Court should not take action in accordance with LCvR 83.2(i). Signed by Judge Amy Berman Jackson on 5/24/2012. (lcabj2) (Entered: 05/24/2012) 05/24/ /24/2012 Set/Reset Deadlines: Plaintiff Glaubach's Opposition (10 pages), if any, to the motions to dismiss Count VI of the consolidated complaint is due by 6/6/2012; Defendants (Stomber, Conway, Hance, Zupon, Allardice, Sarles, Loveridge, CIM, TC Group, and TCG Holdings) Reply (5 pages, not to repeat any arguemnts or cite any authority already set forth) is due by 6/14/2012; Counsel for Plaintiff Glaubach to file Notice by 6/1/2012, explaining their failure to attend the Motions Hearing held on 5/23/2012, and to provide good cause why the Court should not take action in accordance with LCvR 83.2(i) (jth) (Entered: 05/24/2012) MINUTE ORDER denying 58 Motion to Strike. At the motions hearing on May 23, 2012, the Court denied plaintiffs' motion to strike with respect to all exhibits appended to the Carlyle Defendants' Motion to Dismiss, with the exception of Exhibits 2 and 7. The Court took these exhibits, which are sets of Board Minutes, under advisement. Plaintiffs' argument in support of striking these exhibits is that defendants cannot attach them because the complaint does not expressly rely on them. They also state that they did not ever actually have them. But the complaint purports to "quote" statements made at these meetings, thereby implicitly relying on the verbatim record of what took place at the meeting as part of the factual basis for the allegations. Whether or not plaintiffs had the Board minutes in their hands at the time the complaint was drafted, they incorporated them into the complaint, and they were available from the same source from which plaintiffs derived the quotes in the first place - on the docket in the Liquidator's action. In light of these circumstances and the rulings in In re Burlington Coat Factory Securities Litig., 114 F.3d 1410, 1426 (3d Cir. 1997) ("[W]hat is critical is whether the claims in the complaint are 'based' on an extrinsic document and not merely whether the extrinsic document was explicitly cited... Plaintiffs cannot prevent a court from looking at the texts of the documents on which its claim is based by failing to attach or explicitly cite them.") (internal citation omitted) and Malin v. XL Capital Ltd., 499 F. Supp. 2d 117, 129 (D. Conn. 2007), it is ORDERED that the remaining portion of the motion to strike is denied. Signed by Judge Amy Berman Jackson on 5/24/2012. (lcabj2) (Entered: 05/24/2012) 05/31/ NOTICE of Filing Document in Response to the Court's Order of May 23, 2012 by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Exhibit Exhibit A - list of misrepresentations and omissions)(miller, Matthew) (Entered: 05/31/2012) 06/01/2012 MINUTE ORDER: Defendants' completion of the chart attached to plaintiffs' Notice [Dkt. 66] in accordance with the Court's May 23, 2012 instructions need not include a response to the footnote. Signed by Judge Amy Berman Jackson on 6/1/2012. (MT) (Entered: 06/01/2012) 06/01/ NOTICE of Filing of Supplemental Chart by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Attachments: # 1 Exhibit Supplemental Chart)(Teich, Sarah) (Entered: 06/01/2012)

22 06/01/ RESPONSE TO ORDER OF THE COURT re Order,,, dated May 24, 2012 filed by JONATHAN GLAUBACH. (Adelman, Roger) (Entered: 06/01/2012) 06/06/ MOTION for Leave to File Supplemental Memorandum Concerning In Re CRM Holdings, Ltd. Sec. Litig. by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Exhibit Exh. A - supplemental memo)(miller, Matthew) (Entered: 06/06/2012) 06/06/2012 MINUTE ORDER granting 69 Motion for Leave to File Supplemental Memorandum Concerning In Re CRM Holdings, Ltd. Sec. Litig. This ruling does not call for a reply by the defendants. The Clerk is directed to docket attachment (1) to 69. Signed by Judge Amy Berman Jackson on 6/6/2012. (MT) (Entered: 06/06/2012) 06/06/ Memorandum in opposition to re 52 MOTION to Dismiss and Memorandum in Support, 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss Jonathan Glaubach's Opposition to Defendants' Motions to Dismiss filed by JONATHAN GLAUBACH. (Attachments: # 1 Exhibit 1)(Adelman, Roger) (Entered: 06/06/2012) 06/06/ SUPPLEMENTAL MEMORANDUM Concerning IN RE CRM Holdings, Ltd. Securities Litigation to filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (znmw, ) (Entered: 06/07/2012) 06/14/ REPLY to opposition to motion re 52 MOTION to Dismiss and Memorandum in Support, 51 MOTION to Dismiss the Consolidated Complaint and joinder in the Carlyle Defendants' Memorandum In Support of their Motion To Dismiss filed by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Van Kirk, Robert) (Entered: 06/14/2012) 08/13/ ORDER granting 51 Motion to Dismiss; granting 52 Motion to Dismiss. Signed by Judge Amy Berman Jackson on 8/13/2012. (lcabj2) (Entered: 08/13/2012) 08/13/ MEMORANDUM OPINION. Signed by Judge Amy Berman Jackson on 8/13/2012. (lcabj2) (Entered: 08/13/2012) 09/10/ MOTION for Leave to File Amended Consolidated Complaint, MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Exhibit Exh. A - proposed Amended Consolidated Complaint, # 2 Text of Proposed Order)(Miller, Matthew) (Main Document 75 replaced on 9/12/2012) (jf, ). (Entered: 09/10/2012) 09/11/ NOTICE OF APPEAL TO DC CIRCUIT COURT as to 73 Order on Motion to Dismiss, by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. Filing fee $ 455, receipt number Fee Status: Fee Paid. Parties have been notified. (Miller, Matthew) (Entered: 09/11/2012) 09/12/ Transmission of the Notice of Appeal, Order Appealed, and Docket Sheet to US Court of Appeals. The Court of Appeals fee was paid this date re 76 Notice of Appeal to DC Circuit Court,. (jf, ) (Entered: 09/12/2012)

23 09/25/2012 USCA Case Number for 76 Notice of Appeal to DC Circuit Court, filed by W. F. SCHAEFER, D. J. WU, E. L. PHELPS, S. M. LISS, M. J. MCLISTER. (jf, ) (Entered: 09/25/2012) 09/25/ Consent MOTION for Extension of Time to File Response/Reply as to 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON (Van Kirk, Robert) (Entered: 09/25/2012) 09/27/2012 MINUTE ORDER granting 78 Motion for Extension of Time to File Response/Reply re 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion. Responses due by 10/4/2012. Replies due by 10/11/2012. Signed by Judge Amy Berman Jackson on 9/27/2012. (lcabj2) (Entered: 09/27/2012) 10/03/ ORDER of USCA as to (33 in 1:11-cv ABJ) Notice of Appeal to DC Circuit Court, filed by ALNEIL ASSOCIATES, MICHAEL GAD, DANIEL BERGMAN, D.J. WU ; USCA Case Number It is ORDERED, on the court's own motion, that these cases be consolidated. It is FURTHER ORDERED, that these cases be held in abeyance pending district court's resolution of the pending post-judgment motion. It is FURTHER ORDERED, that the September 12, 2012, order directing parties to file initial submissions be suspended pending further order of the court. The Clerk is directed to transmit a copy of this order to the district court. The district court is requested to notify this court promptly upon the conclusion of its proceedings. (kb, ) (Entered: 10/03/2012) 10/04/ Memorandum in opposition to re 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion filed by ROBERT BARCLAY ALLARDICE, III, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES. (Orseck, Gary) (Entered: 10/04/2012) 10/04/ Memorandum in opposition to re 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion filed by CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Attachments: # 1 Exhibit)(Van Kirk, Robert) (Entered: 10/04/2012) 10/09/ Consent MOTION for Extension of Time to File Response/Reply as to 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Miller, Matthew) (Entered: 10/09/2012) 10/09/2012 MINUTE ORDER granting 82 Motion for Extension of Time to File Reply. The reply is now due by October 18, Signed by Judge Amy Berman Jackson on 10/9/2012. (lcabj2) (Entered: 10/09/2012)

24 10/18/ REPLY to opposition to motion re 75 MOTION for Leave to File Amended Consolidated Complaint MOTION to Alter Judgment as to 73 Order on Motion to Dismiss, 74 Memorandum & Opinion filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Miller, Matthew) (Entered: 10/18/2012) 02/26/2013 MINUTE ORDER. In connection with the Court's consideration of plaintiffs' motion for leave to file an amended consolidated complaint, [Dkt. # 75], plaintiffs are directed to file, by March 8, 2013, a list in a format similar to that utilized in Plaintiffs' May 29, 2012 Chart Listing Misrepresentations and Omissions [Dkt. # 66-1]. The submission must itemize all of the alleged misrepresentations and omissions included in the amended consolidated complaint that were not included in the consolidated complaint that was the subject of the Court's Memorandum Opinion and Order dated August 13, 2012, and it must specify the paragraphs in the amended consolidated complaint where each of the "new" allegations can be found. Defendants may file a supplemental chart similar to Docket # 67-1, identifying where in their view, those facts were disclosed in either the Offering Memorandum or Supplemental Memorandum, by March 18, Signed by Judge Amy Berman Jackson on 2/26/2013. (lcabj2) (Entered: 02/26/2013) 02/27/2013 Set/Reset Deadlines: Plaintiffs List is due by 3/8/2013. Defendants Supplemental Chart is due by 3/18/2013. (jth) (Entered: 02/27/2013) 03/08/ SUPPLEMENTAL MEMORANDUM to re Order,,,, (chart requested by the Court) filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Miller, Matthew) (Entered: 03/08/2013) 03/12/ ERRATA by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU 84 Supplemental Memorandum filed by W. F. SCHAEFER, D. J. WU, E. L. PHELPS, S. M. LISS, M. J. MCLISTER. (Miller, Matthew) (Entered: 03/12/2013) 03/18/ MEMORANDUM by ROBERT BARCLAY ALLARDICE, III, CARLYLE INVESTMENT MANAGEMENT, LLC, WILLIAM ELIAS CONWAY, JR, JAMES H. HANCE, JR, JOHN LEONARD LOVERIDGE, HARVEY JAY SARLES, JOHN CRUMPTON STOMBER, T.C. GROUP, LLC, TC GROUP HOLDINGS, LLC, MICHAEL J. ZUPON. (Teich, Sarah) (Entered: 03/18/2013) 03/21/ MOTION for Leave to File Reply to Defendants Table Listing Purported Disclosures of Omitted Facts by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU (Attachments: # 1 Exhibit Exhibit A - proposed reply table, # 2 Memorandum in Support)(Miller, Matthew) (Entered: 03/21/2013) 03/25/2013 MINUTE ORDER granting 87 Motion for Leave to File. The motion for leave to file is granted. The clerk is directed to file attachment 1 (Exhibit A - plaintiffs' proposed reply table) [Dkt. # 87-1] as plaintiffs' supplemental reply memorandum. The briefing on this motion is now complete, and the Court has it under advisement. Signed by Judge Amy Berman Jackson on 3/25/2013. (lcabj2) (Entered: 03/25/2013) 03/25/ SUPPLEMENTAL REPLY MEMORANDUM filed by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (jf, ) (Entered: 03/26/2013) 06/04/ ORDER denying 75 Motion for Leave to File; denying 75 Motion to Alter Judgment. See order for details. Signed by Judge Amy Berman Jackson on 6/4/2013. (lcabj2) (Entered: 06/04/2013)

25 06/04/ MEMORANDUM OPINION. Signed by Judge Amy Berman Jackson on 6/4/2013. (lcabj2) (Entered: 06/04/2013) 06/10/ Supplemental Record on Appeal transmitted to US Court of Appeals re 90 Memorandum & Opinion, 89 Order on Motion for Leave to File, Order on Motion to Alter Judgment ;USCA Case Number (jf, ) (Entered: 06/10/2013) 06/11/ Amended NOTICE OF APPEAL re appeal 76 by S. M. LISS, M. J. MCLISTER, E. L. PHELPS, W. F. SCHAEFER, D. J. WU. (Miller, Matthew) (Entered: 06/11/2013) 06/12/ Transmission of the Notice of Appeal, Order Appealed, and Docket Sheet to US Court of Appeals re 92 Amended Notice of Appeal. (jf, ) (Entered: 06/12/2013) 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