U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv LTS

Transcription

1 US District Court Civil Docket as of June 10, 2014 Retrieved from the court on June 11, 2014 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv LTS In re: TVIX Securities Litigation Date Filed: 05/25/2012 Assigned to: Judge Laura Taylor Swain Date Terminated: 06/10/2014 Related Cases: 1:12-cv LTS Jury Demand: Plaintiff 1:12-cv LTS Nature of Suit: 850 Cause: 15:78m(a) Securities Exchange Act Securities/Commodities Jurisdiction: Federal Question Lead Plaintiff Elite Aviation LLC represented by Giti Baghban 11 Camelia Court Lawrenceville, NJ (212) Fax: (212) Mark C. Rifkin Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY Fax: Matthew Moylan Guiney Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY (212) Fax: (212) Gregory Mark Nespole

2 Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY Fax: (212) Lead Plaintiff Endless H3 represented by Giti Baghban Mark C. Rifkin Matthew Moylan Guiney Gregory Mark Nespole Plaintiff David Schottenstein Individually and on behalf of all others similarly situated represented by Gregory Mark Nespole Matthew Moylan Guiney V. Consolidated Plaintiff William Bostedo Individually and on Behalf of All others Similarly Situated represented by David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY Fax:

3 Deborah R Gross Law Offices Bernard M Gross, P.C. Suite 450, 100 Penn Square East Philadelphia, PA (215) Fax: (215) debbie@bernardmgross.com Consolidated Plaintiff Grace Trading, LLC represented by David J. Guin Donaldson, Guin & Slate, L.L.C. The Morgan Keegan Center 2900 Highway 280 Birmingham, Al (205) Gregory Mark Nespole Matthew Moylan Guiney Consolidated Plaintiff Ann Nicolosi Individually and on behalf of all other similarly situated represented by David J Guin Donaldson, Guin & Slate, L.L.C. The Morgan Keegan Center 2900 Hightway 280 Birmingham, AL (205) Gregory Mark Nespole Matthew Moylan Guiney V. Mountain Vista, LLC represented by Ethan David Wohl

4 Wohl & Fruchter LLP 570 Lexington Avenue, 16th Floor New York, NY (212) Fax: (212) Ram Sinai DRHP, Inc. Md. Mostofa Afzal Momen Rick L. Colyer Yohanna Marini Jorge Bitar Naim represented by Ethan David Wohl represented by Ethan David Wohl represented by Brian C. Kerr Brower Piven, A Professional Corporation 488 Madison Avenue, Eight Floor New York, NY xxxxx (212) Fax: (212) kerr@browerpiven.com represented by Brian C. Kerr represented by Brian C. Kerr represented by Brian C. Kerr

5 Elias Antonio Khouri Makl William Mathers Brian Vandiver Farid Rahimi Robert Kovaks represented by Brian C. Kerr represented by David Avi Rosenfeld represented by David Avi Rosenfeld represented by David Avi Rosenfeld represented by David Avi Rosenfeld V. Credit Suisse AG Davis Polk & Wardwell L.L.P. 450 Lexington Avenue New York, NY (212) Davis Polk & Wardwell L.L.P. 450 Lexington Avenue New York, NY (212) Fax: (212) Davis Polk & Wardwell LLP

6 450 Lexington Avenue New York, NY (212) Fax: (212) Credit Suisse Securities (USA) LLC Brady W. Dougan Renato Fassbind

7 D. Neil Radey Paul J. O'Keefe Walter B. Kielholz Hans-Ulrich Doerig Peter Brabeck-Letmathe

8 Thomas W. Bechtler Robert H. Benmosche Noreen Doyle

9 Jean Lanier Anton Van Rossum Aziz R.D. Syriani David W. Syz

10 Ernst Tanner Richard E. Thornburgh Peter F. Weibel

11 V. Consolidated Nicholas Cherney Consolidated Richard Hoge Consolidated VLS Securities LLC Consolidated Velocityshares LLC ADR Provider Endless H3 ADR Provider Abram Shalelashvili represented by Nicholas Ian Porritt Levi & Korsinsky LLP (DC) th, Street, NW Washington, DC (202) Fax: (202) Date Filed # Docket Text 05/25/ COMPLAINT against Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Filing Fee $ , Receipt Number )Document filed by David Schottenstein.(mro) (Entered: 05/29/2012) 05/25/2012 SUMMONS ISSUED as to Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (mro) (Entered: 05/29/2012) 05/25/2012 Magistrate Judge Ronald L. Ellis is so designated. (mro) (Entered: 05/29/2012) 05/25/2012 Case Designated ECF. (mro) (Entered: 05/29/2012) 05/25/ STANDING ORDER IN RE PILOT PROJECT REGARDING CASE

12 MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 05/29/2012) 06/14/ INITIAL CONFERENCE ORDER: Initial Conference set for 8/14/2012 at 11:00 AM in Courtroom 11C, 500 Pearl Street, New York, NY before Judge Laura Taylor Swain. It is further ORDERED that counsel for Plaintiff(s) must serve a copy of this Initial Conference Order within fourteen (14) calendar days following the date of this order, on each that has already been served with the summons and complaint, that a copy of this Initial Conference Order must be served with any subsequent process that brings in additional parties, and that proof of such service must be filed promptly with the Court. It is further ORDERED that counsel for the parties confer preliminarily at least twenty-one (21) days prior to the date set forth in paragraph 1 above to discuss the matters that are set forth in this Order. Additional relief as set forth in this Order. (Signed by Judge Laura Taylor Swain on 6/13/2012) (pl) (Entered: 06/14/2012) 06/19/ STIPULATION AND ORDER AS TO ACCEPTANCE OF SERVICE AND SCHEDULING: Counsel for defendants accepts service of the Complaint, dated May 25, 2012, on behalf of all defendants in this action, such service being effective as of the date the parties execute this stipulation. The time for all defendants to move, answer or otherwise respond to the Complaint is extended through and including forty-five (45) days after an order of the Court appointing one or more lead plaintiffs and approving the selection of counsel by lead plaintiff(s). (Signed by Judge Laura Taylor Swain on 6/19/2012) (jar) (Entered: 06/19/2012) 06/25/ ENDORSED LETTER addressed to Judge Laura Taylor Swain from Matthew M. Guiney dated 6/20/2012 re: Counsel for plaintiff writes to request an adjournment of the pretrial conference currently scheduled for August 14, ENDORSEMENT: The conference is adjourned to November 2, 2012 at 10am and the related deadlines are modified accordingly., ( Initial Conference set for 11/2/2012 at 10:00 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 6/22/2012) (pl) (Entered: 06/25/2012) 07/24/ MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel., MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s)., MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv Document filed by Elite Aviation LLC, Endless H3.(Guiney, Matthew) (Entered: 07/24/2012) 07/24/ MEMORANDUM OF LAW in Support re: 6 MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel. MOTION to Appoint Elite

13 Aviation LLC and Endless H3 to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s).. Document filed by Elite Aviation LLC, Endless H3. (Guiney, Matthew) (Entered: 07/24/2012) 07/24/ DECLARATION of Matthew M. Guiney in Support re: 6 MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel. MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s).. Document filed by Elite Aviation LLC, Endless H3. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Guiney, Matthew) (Entered: 07/24/2012) 07/24/ MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s), consolidate the actions and appoint lead counsel. Document filed by Abram Shalelashvili. (Attachments: # 1 Text of Proposed Order)(Porritt, Nicholas) (Entered: 07/24/2012) 07/24/ MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s), consolidate the actions and appoint lead counsel.. Document filed by Abram Shalelashvili. (Porritt, Nicholas) (Entered: 07/24/2012) 07/24/ DECLARATION of Nicholas I. Porritt in Support re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s), consolidate the actions and appoint lead counsel.. Document filed by Abram Shalelashvili. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Porritt, Nicholas) (Entered: 07/24/2012) 07/24/ MOTION to Consolidate Cases 12-cv-4756., MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Mountain Vista, LLC, Ram Sinai, DRHP, Inc.. (Attachments: # 1 Text of Proposed Order)(Wohl, Ethan) (Entered: 07/24/2012) 07/24/ DECLARATION of J. Elazar Fruchter in Support re: 12 MOTION to Consolidate Cases 12-cv MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s).. Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Attachments: # 1 Exhibit A-D)(Wohl, Ethan) (Entered: 07/24/2012) 07/24/ MEMORANDUM OF LAW in Support re: 12 MOTION to Consolidate Cases 12-cv MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s).. Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Wohl, Ethan) (Entered: 07/24/2012) 07/24/ MOTION to Appoint Counsel., MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s)., MOTION to Consolidate Cases Document filed by Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, Elias Antonio Khouri Makl.(Kerr, Brian) (Entered: 07/24/2012) 07/24/ MEMORANDUM OF LAW in Support re: 15 MOTION to Appoint Counsel.

14 MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Mountain Vista, LLC, Jorge Bitar Naim. (Kerr, Brian) (Entered: 07/24/2012) 07/24/ DECLARATION of Kenneth G. Gilman in Support re: 15 MOTION to Appoint Counsel. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Mountain Vista, LLC, Jorge Bitar Naim. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P)(Kerr, Brian) (Entered: 07/24/2012) 07/24/ MOTION to Appoint Counsel., MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s)., MOTION to Consolidate Cases , , Document filed by William Mathers, Brian Vandiver, Farid Rahimi, Robert Kovaks. (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 07/24/2012) 07/24/ MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Counsel. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s). MOTION to Consolidate Cases , , MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s).. Document filed by Robert Kovaks, William Mathers, Farid Rahimi, Brian Vandiver. (Rosenfeld, David) (Entered: 07/24/2012) 07/24/ DECLARATION of David A. Rosenfeld in Support re: 18 MOTION to Appoint Counsel. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s). MOTION to Consolidate Cases , , MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s).. Document filed by Robert Kovaks, William Mathers, Farid Rahimi, Brian Vandiver. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 07/24/2012) 08/06/ NOTICE of of Withdrawal of Lead Plaintiff Motion by Abram Shalelashvili re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s), consolidate the actions and appoint lead counsel.. Document filed by Abram Shalelashvili. (Porritt, Nicholas) (Entered: 08/06/2012) 08/07/ NOTICE of Withdrawal of Motion for Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel re: 12 MOTION to Consolidate Cases 12- cv MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s)..

15 Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Wohl, Ethan) (Entered: 08/07/2012) 08/09/ NOTICE of Withdrawal of Motion re: 15 MOTION to Appoint Counsel. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Rick L. Colyer, Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Jorge Bitar Naim. (Kerr, Brian) (Entered: 08/09/2012) 08/10/ NOTICE of Non-Opposition. Document filed by William Mathers, Farid Rahimi, Brian Vandiver. (Rosenfeld, David) (Entered: 08/10/2012) 08/24/ ORDER APPOINTING LEAD PLAINTIFFS AND APPROVING LEAD PLAINTIFFS' SELECTION OF LEAD COUNSEL: granting (6) Motion to Appoint Counsel ; granting (6) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (6) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv LTS; granting (7) Motion to Appoint Counsel ; granting (7) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (7) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv LTS; granting (3) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (3) Motion to Appoint Counsel ; granting (3) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv LTS; granting (4) Motion to Appoint Counsel ; granting (4) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (4) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475; granting (3) Motion to Appoint Counsel ; granting (3) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (3) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv LTS; granting (8) Motion to Appoint Counsel ; granting (8) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (8) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475; granting (7) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (7) Motion to Appoint Counsel; granting (7) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756, 12cv5475 in case 1:12-cv LTS. The Court hereby appoints s as lead plaintiffs for the Class of purchasers of VelocityShares Daily 2x VIX Short Term Exchange Traded Notes ("TVIX ETNs") issued by Credit Suisse Securities (USA) LLC. s satisfy all of the requirements for lead plaintiffs pursuant to the Private Securities Litigation Reform Act of 1995 ("PSLRA"). Pursuant to the PLSRA, s have selected and retained the law firm of Wolf Haldenstein Adler Freeman & Herz LLP ("Wolf Haldenstein") as lead counsel in this action. The Court approves the selection of Wolf Haldenstein as lead counsel for the Class. The above-captioned action and any action arising out of the same operative facts and alleging causes of action under the PSLRA now or hereafter filed in or transferred to this Court (the "Actions") are hereby consolidated pursuant to Fed. R. Civ. P. 42(a). The Actions shall be referred to as In re TVIX Securities Litigation, Master File No. 12-cv-4191-LTS. I 0. Every pleading in the Actions shall bear the following caption as set forth herein. The Court hereby orders that lead plaintiffs are pennitted to file an amended class action complaint within 45 days from the date of this Order. (Signed by Judge Laura Taylor Swain on

16 8/24/2012) Filed In Associated Cases: 1:12-cv LTS, 1:12-cv LTS, 1:12- cv lts(djc) Modified on 8/24/2012 (djc). (Entered: 08/24/2012) 10/09/ CONSOLIDATED AMENDED CLASS ACTION COMPLAINT amending 1 Complaint, against Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel with JURY DEMAND.Document filed by David Schottenstein, Endless H3, Elite Aviation LLC. Related document: 1 Complaint, filed by David Schottenstein.(lmb) (mt). (Entered: 11/29/2012) 10/22/ NOTICE OF APPEARANCE by Giti Baghban on behalf of Elite Aviation LLC, Endless H3 (Baghban, Giti) (Entered: 10/22/2012) 10/23/ ENDORSED LETTER addressed to Judge Laura Taylor Swain from James H.R. Windels dated 10/18/2012 re: We are counsel for defendants in the above-referenced action, and we are writing pursuant to Your Honor's Individual Practices to respectfully request an adjournment of the initial pretrial conference currently scheduled for November 2, ENDORSEMENT: The initial conference is adjourned to April 26, 2013, at 10:15 AM., ( Initial Conference set for 4/26/2013 at 10:15 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 10/22/2012) (lmb) (Entered: 10/23/2012) 10/25/ NOTICE OF CHANGE OF ADDRESS by Giti Baghban on behalf of Elite Aviation LLC, Endless H3. New Address: Wolf Haldenstein Adler Freeman & Herz LLP, 270 Madison Avenue, New York, NY, United States 10016, (Baghban, Giti) (Entered: 10/25/2012) 11/16/ ENDORSED LETTER: addressed to Judge Laura Taylor Swain from James H.R. Windels dated 11/13/2012 re: Counsel for defendants write on behalf of all parties to respectfully request an enlargement of the page limitations for the memoranda of law to be filed in connection with defendants' motion to dismiss the Consolidated Amended Class Action Complaint. We would request that the limits for defendants' initial memorandum and plaintiffs' opposition memorandum be increased from 25 to 40 pages each and the limit for defendants' reply memorandum be increased from 10 to 20 pages. The parties will make every effort to draft the memoranda as concisely as possible, but in order to brief fully the issues for the Court we submit it would be appropriate to exceed the page limitations set forth in Your Honor's Individual Practices. ENDORSEMENT: The request is granted. So Ordered. (Signed by Judge Laura Taylor Swain on 11/16/2012) (js) (Entered: 11/19/2012) 11/26/ NOTICE OF APPEARANCE by on behalf of Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel (King, Melissa) (Entered: 11/26/2012) 11/26/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Credit Suisse Group AG, Other Affiliate Credit Suisse (USA), Inc., Other Affiliate Credit Suisse Holdings (USA), Inc. for Credit Suisse AG, Credit Suisse Securities

17 (USA) LLC. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans- Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/26/2012) 11/26/ NOTICE OF APPEARANCE by on behalf of Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel (Ong, Emmet) (Entered: 11/26/2012) 11/26/ MOTION to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/26/2012) 11/26/ MEMORANDUM OF LAW in Support re: 33 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Windels, James) (Entered: 11/26/2012) 11/26/ DECLARATION of James H.R. Windels in Support re: 33 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Windels, James) (Entered: 11/26/2012) 01/14/ MEMORANDUM OF LAW in Opposition re: (33 in 1:12-cv LTS) MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Elite Aviation LLC, Endless H3, David Schottenstein. Filed In Associated Cases: 1:12-cv LTS, 1:12-cv LTS, 1:12-cv LTS(Guiney, Matthew) (Entered: 01/14/2013) 01/15/ NOTICE OF APPEARANCE by Mark C. Rifkin on behalf of Elite Aviation LLC, Endless H3 (Rifkin, Mark) (Entered: 01/15/2013) 01/29/ NOTICE of of Supplemental Authority. Document filed by Elite Aviation LLC, Endless H3. (Attachments: # 1 Exhibit A)Filed In Associated Cases: 1:12-cv LTS, 1:12-cv LTS, 1:12-cv LTS(Guiney, Matthew) (Entered: 01/29/2013) 02/19/ REPLY MEMORANDUM OF LAW in Support re: 33 MOTION to Dismiss the

18 Consolidated Amended Class Action Complaint.. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Windels, James) (Entered: 02/19/2013) 04/12/ /12/ ENDORSED LETTER addressed to Judge Laura Taylor Swain from James H.R. Windels dated 4/10/2013 re: We are counsel for defendants in the above-referenced action, and we are writing pursuant to Your Honor's Individual Practices to respectfully request an adjournment of the initial pretrial conference currently scheduled for April 26, This is the third request for an adjournment of the conference. Plaintiffs' counsel consents to and joins in this request. ENDORSEMENT: In light of the pending motion, the conference is adjourned to September 20, 2013, at 10:00 AM and the related deadlines are modified accordingly. (Signed by Judge Laura Taylor Swain on 4/12/2013) (ft) (Entered: 04/12/2013) Set/Reset Hearings: Initial Conference set for 9/20/2013 at 10:00 AM before Judge Laura Taylor Swain. (ft) (Entered: 04/12/2013) 07/29/ LETTER addressed to Judge Laura Taylor Swain from James H. R. Windels dated 7/25/2013 re: s respectfully submit that the Second Circuit's decision in In re ProShares further supports dismissal of the complaint in In re TVIX. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(ft) (Entered: 07/29/2013) 08/05/ LETTER addressed to Judge Laura Taylor Swain from Mark C. Rifkin dated 8/1/2013 re: We are counsel for the Lead Plaintiffs in the above-captioned securities class action and write in response to defendants' July 25, 2013, letter concerning the Second Circuit's In re ProShares Trust Securities Litigation, No , 2013 U.S. App. LEXIS (2d Cir. 2013) opinion affirming the district court's dismissal of In re ProShares Trust Securities Litigation, No. 09 Civ (JGK), 2012 U.S. Dist. LEXIS (S.D.N.Y. Sept. 7, 2012)...For all these reasons, Lead Plaintiffs respectfully submit that the decision in ProShares should have no bearing on the Court's consideration of the pending motion to dismiss. (tn) (Entered: 08/05/2013) 09/04/ LETTER MOTION to Adjourn Conference scheduled for September 20, 2013 addressed to Judge Laura Taylor Swain from James H.R. Windels dated 09/04/2013. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 09/04/2013) 09/11/ ORDER granting 44 Letter Motion to Adjourn Conference. Initial Conference reset for 12/6/2013 at 10:15 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 9/11/2013) (cd) (Entered: 09/12/2013) 09/13/ NOTICE OF MOTION AND MOTION TO JOIN & INTERVENE TO ADD AN

19 ADDITIONAL PLAINTIFF SANDRA JOY LASHBROOK TO CONSOLIDATED AMENDED CLASS ACTION COMPLAINT(DOC 36).(sc) Modified on 9/16/2013 (sc). (Entered: 09/16/2013) 09/23/ MEMORANDUM OF LAW in Opposition re: 46 MOTION to Intervene.. Document filed by Elite Aviation LLC, Endless H3, David Schottenstein. (Guiney, Matthew) (Entered: 09/23/2013) 11/25/ LETTER MOTION to Adjourn Conference Scheduled for December 6, 2013 addressed to Judge Laura Taylor Swain from James H.R. Windels dated November 25, Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/25/2013) 11/27/ ORDER granting 48 Letter Motion to Adjourn Conference.The conference is adjourned to 3/14/2014, at 10:00 AM. Initial Conference reset for 3/14/2014 at 10:00 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 11/26/2013) (cd) (Entered: 11/27/2013) 03/07/ LETTER MOTION to Adjourn Conference addressed to Judge Laura Taylor Swain from Matthew M. Guiney dated March 7, Document filed by Elite Aviation LLC, Endless H3.(Guiney, Matthew) (Entered: 03/07/2014) 03/10/ ORDER granting 50 Letter Motion to Adjourn Conference. The conference is adjourned to May 16, 2014, at 10:45 AM and the related deadlines are modified accordingly. The Court will inform the parties if oral argument is desired. Initial Conference set for 5/16/2014 at 10:45 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 3/7/2014) (lmb) (Entered: 03/10/2014) 05/08/ LETTER MOTION to Adjourn Conference Scheduled for May 16, 2014 addressed to Judge Laura Taylor Swain from James H.R. Windels dated May 8, Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 05/08/2014) 05/14/ ORDER granting 52 Letter Motion to Adjourn Conference. The conference is adjourned to July 11, 2014, at 10:30 AM. Docket entry #52 resolved. Initial Conference set for 7/11/2014 at 10:30 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 5/13/2014) (lmb) (Entered: 05/14/2014) 06/06/ MOTION for Deborah R. Gross to Withdraw as Attorney. Document filed by William Bostedo. (Attachments: # 1 Certificate of Service)(Gross, Deborah) (Entered: 06/06/2014) 06/09/ OPINION AND ORDER. For the reasons in this Opinion and Order, s' motion to dismiss the CCAC is granted in its entirety. This Memorandum Order resolves docket entry number 33. As this case is dismissed, the pending motion to intervene (docket entry no. 46) is hereby terminated. The Clerk's Office is respectfully requested to enter judgment dismissing Plaintiffs' Consolidated Class Action Complaint

20 and to close this case and cases 12 civ and 12 civ re: (33 in 1:12-cv LTS) MOTION to Dismiss the Consolidated Amended Class Action Complaint filed by Peter Brabeck-Letmathe, Jean Lanier, Ernst Tanner, Credit Suisse AG, Robert H. Benmosche, Aziz R.D. Syriani, Credit Suisse Securities (USA) LLC, Thomas W. Bechtler, Noreen Doyle, Hans-Ulrich Doerig, Walter B. Kielholz, Peter F. Weibel, D. Neil Radey, Richard E. Thornburgh, Anton Van Rossum, David W. Syz, Brady W. Dougan, Renato Fassbind, (46 in 1:12-cv LTS) MOTION to Intervene. (Signed by Judge Laura Taylor Swain on 6/9/2014) Filed In Associated Cases: 1:12-cv LTS, 1:12-cv LTS, 1:12-cv LTS (rjm) Modified on 6/9/2014 (rjm). (Entered: 06/09/2014) 06/09/2014 Transmission to Judgments and Orders Clerk. Transmitted re: 55 Memorandum & Opinion to the Judgments and Orders Clerk. (rjm) (Entered: 06/09/2014) 06/10/ CLERK'S JUDGMENT: That for the reasons stated in the Court's Opinion and Order dated June 9, 2014, s' motion to dismiss the CCAC is granted in its entirety and the CCAC is dismissed; accordingly, these cases 12 Civ. 4191, 12 Civ 4756 and 12 Civ are closed. (Signed by Clerk of Court Ruby Krajick on 6/10/2014) (Attachments: # 1 Notice of Right to Appeal, # 2 Notice of Right to Appeal)Filed In Associated Cases: 1:12-cv LTS, 1:12-cv LTS, 1:12-cv LTS(dt) Modified on 6/10/2014 (dt). (Entered: 06/10/2014) 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