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Madoff Lawsuit List Madoff Lawsuit List Document Transcript

  • The D&O Diary The List: Madoff Investor and “Feeder Fund” Litigation Updated: April 29, 2010 Table I: Federal Securities Class Action Litigation (Current Number of Separate Actions: 19) (Multiple Interrelated Lawsuits Listed in Table IV, below) Date Court Defendants/Claimants Link D&O Diary Post 12/12/08 E.D.N.Y. Bernard Madoff; Bernard Madoff L. Madoff Here Here Investment Securities/Irwin Kellner on behalf of all persons who purchased securities from Madoff or BMIS. 12/15/08 C.D. Cal. The Brighton Company; Stanley Chais; Here Here Bernard Madoff; Bernard L. Madoff Investment Securities/ Michael Chaleff, on behalf of all investors who invested capital through Chais and Brighton and all investors who invested capital through Madoff and BMIS. 12/16/08 S.D.N.Y. Ascot Partners, L.P.; J. Ezra Merkin; BDO Here Here Seidman/New York Law School on behalf investors of Ascot limited partnership interests 12/16/08 S.D.N.Y. Gabriel Capital, L.P.; J. Ezra Merkin; BDO Here Here Seidman/ Scott Berrie on behalf of all persons who invested in Gabriel limited partnership interests 12/22/08 S.D.N.Y. Tremont Group Holdings; Oppenheimer Here Here Acquisition Corporation; Massachusetts Mutual Life Insurance Company; Ernst & Young LLP/Yvette Finkelstein, on behalf of capital investors in American Masters Broad Prime Market Fund, L.P. 12/23/08 S.D.N.Y. Family Management Corporation; Seymour Here Here Zises; Andrea Tessler; Andover Associates LLC; Beacon Associates LLC; Beacon Associates LLC; Beacon Associates Mangement Corp.; Beacon/Andover Group; Maxam Absolute Return Fund L.P.; Maxam Capital Management LLC; Fulvio & Associates, LLP/David Newman and others on behalf of investors in FM Low Volatility Fund L.P 12/23/08 S.D.N.Y. Tremont Group Holdings; Tremont Partners Here Here Inc.; Rye Investment Management; Oppenheimer Acquisition Corporation; Oppenheimer Funds Inc.; Massachusetts Mutual Life Insurance Company/Richard Peskin on behalf of investors in Spectrum Select Copyright 2010 Kevin M. LaCroix
  • L.P. {For additional lawsuits against related defendants/parties, see Table IV below} 12/30/08 S.D.N.Y. Tremont Market Neutral Fund L.P.; Tremont Here Group Holdings, Inc. Ernst & Young LLP/Group Defined Pension Plan & Trust 1/9/09 S.D.N.Y. Fairfield Greenwich Group; Fairfield Here Greenwich Limited, Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Walter M. Noel Jr. and other individual defendants/ Pacific West Health Medical Center Inc. Employees Retirement Trust on behalf of all persons who owned shares of Fairfield Sentry (For additional lawsuits against related parties please see below) 1/12/09 S.D.N.Y. Herald USA Fund; Herald Luxemburg Fund; Here Here Primeo Select Fund; Medici Bank; Sonja Kohn; Perter Schelhauer; Bank Austria Creditanstait; Unicredit S.A.; Pioneer Alternative Management; Ernst & Young L.P./Repex Ventures on behalf of all persons who invested in Herald USA Fund Herald Luxemburg Fund; and Primeo Select Fund and Thema International Funds 1/26/09 S.D.Fla. Banco Santander S.A.; Banco Santander Here Here International; Optimal Investment Services S.A.; Pricewaterhouse Coopers; HSBC Securities Services (Ireland) Ltd.; individual directors and offices of Optimal Investment and Optimal Fund/Inversiones Mar Ocava Limitada on behalf of all persons who owned shares of Optimal Strategic US Equity Ltd pm December 10, 2008 or who purchased Optimal Strategic US Equity Ltd. shares between January 27, 2004 and December 10, 2008 (Case consolidated in Multidisrict Litigation order, here) Consolidated Amended Complaint dated 10/21/09 Here 1/27/09 S.D.N.Y. Beacon Associate Management Corp.; Joel Here Danziger; Harris Markhoff; Ivy Asset Management Corp.; The Bank of New York Mellon Corporation; Friedberg Smith & Co.,PC/ John and Phyllis Cacoulidis as Trustees of Grand Metro Builders of NY Corp. Defined Benefit Plan, on behalf of all persons who invested in Beacon Associates LLC I between August 9, 2004 and the present 2/19/09 S.D.N.Y. FM Multi-Strategy Investment Fund L.P.; Here Family Management Corporation; Seymour Zises; Andres Tessler and Fulvio and Associates/ Wolff Living Trust on behalf of all persons who bought limited partnership interests of the FM Multi-Strategy Investment Fund, L.P 4/7/09 S.D.N.Y. Austin Capital Management Ltd.; individual Here Copyright 2010 Kevin M. LaCroix
  • defendants; Rothstein Kass & Company P.L.L.C.; Rothstein Kass & Co. (Cayman)/Construction Industry and Laborers Joint Pension Trust and Plumbers and Pipefitters Local 525 Pension Plan on behalf of all persons who held interests in the Austin funds and whose interests were invested with Madoff, with a subclass of employee benefit plan which through their fiduciaries that Austin Capital to manage investments and whose funds were invested with Madoff 4/20/09 S.D.N.Y. J.P. Jeanneret Associates Inc.; John P. Here Jeanneret ; Paul L. Perry ; Ivy Asset Management Corporation ; Bank of New York Mellon Corporation ; Margolin, Winer & Evens LLP/Local 73 Annuity Fund and Local 73 Retirement Fund on behalf of persons who invested in the Income-Plus Investment Fund between January 1, 1999 and the present. NOTE: On November 16, 2009, the plaintiffs filed their consolidated amended class action complaint in this action. The consolidated amended complaint can be found here. 4/20/09 S.D.N.Y. Meridian Diversified Fund Management, LLC; Here Meridan Capital Partners, Inc.; individual defendants/Pension Trust Fund for Operation Engineeers on behalf of all investors who acquired shares in Meridian Capital Parnets fund or hedge funds managed by Meridian Diversified Funds between January 2, 2008 and December 11, 2008 5/7/09 S.D.N.Y. Ariel Fund, Ltd.; Gabriel Capital Corporation; Here J. Ezra Merkin; Fortis Bank (Cayman) Ltd.; Fortis Prime Solutions (Cayman) Ltd.; Fortis Bank; Fortis Prime Solutions (USA) LLC; BDO Tortuga; BDO International/Jacob E Finklestein CGM IRA Rollover Custodian on behalf of all persons that invested in the funds. 5/29/09 M.D. Fla. JML Portfolio Management Ltd.; Swiss Life Here Holding AG; Nomura Holdings, Inc./Jeffrey S. Araj M.D. on behalf of all persons who owned the Nomura All Weather Fund on December 10. 2008 or who were sold variable annuity policies of Swiss Life through JML which invested in the Nomura All Weather Fund from January 3, 2006 to December 10, 2008 6/5/09 S.D. Fla. Collins Capital Low Volatility Performance Here Fund II, Ltd.; Collins Capital Low Volatility Performance Fund L.P., Collins Capital Investments, LLC; individual defendants/West Palm Beach Police Pension Fund, on behalf of all shareholders of Collins Capital Low Volatility Performance Fund II, Ltd. between June 1, 2007 and December 11, 2008 Copyright 2010 Kevin M. LaCroix
  • Table II: State Court Litigation Date Court Defendants/Claimants Link D&O Diary Post 12/16/08 Cal. Sup. Morton D. Kurzrok/ Richard H. Gordon {Note: Here Ct. Removed to C.D.Cal. on February 12, 2009, Civil Action No. 09-cv-1060} 12/19/08 N.Y. Sup. Fairfield Greenwich Group; Fairfield Here Here Ct. Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Walter M. Noel, Jr. and other individuals/ Pasha and Julia Anwar on behalf of investors in Greenwich Sentry L.P. {NOTE: This case was removed to federal court and consolidated with other federal court Fairfield Greenwich litigation, see consolidation order here} 12/23/08 N.Y. Sup. Gabriel Capital; J. Ezra Merkin; Ariel Here Here Ct. Fund/New York University 12/24/08 Cal. Sup. Stanley Chais/ Eric Roth as Trustee for Vanessa Here Ct. Productions Ltd. Profit Sharing Plan NOTE: Removed to federal court (C.D. Cal) on February 27, 2009, Civil Action No. 2:09cv1434. 12/31/08 Cal Sup. Robert Schulman and other individual Here Ct. defendants/ Tremont Parnters, Inc.; Tremont Group Holdings, Inc; Rye Select Broad Market Fund f/k/a American Masters Broad Market Prime Fund L.P.; Massachusetts Mutual Life Insurance Co.; Oppenheimer Acquisition Corporation; MassMutual Holding Co.; Citibank N.A./White Trust Dated May 3, 2002 and Rigdon O. Dees III {Note: This case was removed to the C.D. Cal on January 30, 2009, and a separate entry on the removed case appears below in Table IV} 2/3/09 N.Y. Sup. Laura Blank/ Stephen Simkin Here Here Ct. 2/4/09 N.Y. Tremont Partners, Inc.; Tremont Group Here Sup.Ct. Holdings, Inc.; Rye Investment Management; KPMG LLP; Individual Directors and Officers/ Rye Select Broad Market XL Fund, L.P., Nominal Defendant/2005 Tomchin Family Charitable Trust, derivatively on behalf of Rye Select Broad Market XL Fund, L.P. 2/5/09 N.Y. Sup. Tremont Partners, Inc. ; Tremont Group Here Ct. Holdings, Inc.; Tremont Capital Management, Inc.; KPMG LLP; KPMG International; Frank Dipascali; Andrew Madoff; Mark Madoff; Peter Madoff; Ruth Madoff/ Rye Select Broad Market Prime Fund L.P., Nominal Defendant/ Jay Wexler, derivatively on behalf of Rye Select Copyright 2010 Kevin M. LaCroix
  • Broad Market Prime Fund, L.P. NOTE: On October 21, 2009 the plaintiff filed an extensive amended complaint in this action (here), adding additional allegations and naming additional defendants, including KPMG UK; JP Morgan Chase: The Bank of New York Mellon; Oppenheimer Acquisition Corporation; and Massachusetts Mutual Life Insurance Company 2/5/09 N.Y. Sup. Friehling & Horowitz, P.C.; Andrew Madoff; Here Ct. Mark Madoff; Peter Madoff; Ruth Madoff; Frank DiPascali; Frank Avellino/Daniel Ryan and Theresa Ryan, individually and on behalf of the Lawrence J. Ryan By-pass Trust 2/13/09 Cal. Sup. The Lambeth Company; Stanley Here Ct. Chais/Bottlebrush Investments L.P. 2/13/09 Cal. Sup. Stanley Chais/ CMG, Ltd. and The Brighton Here Ct. Company, Nominal Defendants/ Daphne Brogdon on behalf of all persons who as of December 12, 2008 had capital invested or indirectly with Defendant Stanley Chais 2/13/09 N.Y. Sup. Fairfield Greewich Group; Fairfield Greenwich Here Ct. Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Globeop Financial Services LLC; Citgo Fund Services (Europe)BV; Citgo (Canada) Inc.; individual directors and officers; PricewaterhouseCoopers, LLC; Pricewaterhouse Coopers Accountants NV/ Greenwich Sentry L.P., Nominal Defendant/ David Ferber SEP IRA {NOTE: This action was removed to the Southern District of New York, Civil Action No. 1:09-cv-02366, here} 2/17/09 N.Y. Sup. Fairfield Greenwich Group; Fairfield Here Ct. Greenwich (Bermuda) Ltd; Fairfield Greenwich Advisors LLC; Globeop Financial Services; Citgo Fund Services (Europe)BV; Citgo (Canada) Inc.; individual directors and officers; PricewaterhouseCoopers LLP/Greenwich Sentry Partners, L.P., Nominal Defendant/ Frank Pierce and Frank Pierce IRA 2/25/09 Conn. NEPC LLC; KPMG LLP/ Retirement Program Here Sup. Ct. for Employees of the Town of Fairfield, Connecticut {NOTE: This action was removed to the District of Connecticut on March 20, 2009, Civil Action No. 3:09-cv-506. 2/26/09 N.Y. Sup. Application of J. Ezra Merkin and Gabriel Here Ct. Capital Corporation against The Calibre Fund LLC (Order to Show Cause Why Permanent Arbitration Stay Should Not Be Entered) 2/27/09 Cal. Sup. Brighton Investments; Stanley Chais/ Leghorn Here Ct. Investments 3/10/09 N.Y.Sup. Rye Investment Management; Tremont Here Ct. Partners, Inc.; Tremont Group Holdings; Copyright 2010 Kevin M. LaCroix
  • KPMG LLP; Individual defendants; Rye Select Broad Market XL Fund L.P., Nominal Defendant/Securion I L.P. 3/10/09 Fla. Circ. Paul J. Koningsberg; Koningsberg, Wolf & Here Ct. Co./Steven E. Leber as Trustee of the Steven E. Leber Charitable Remainder Unitrust {Note: On April 20, 2009, case removed to Southern District of Florida, Case No. 09-80593} 3/13/09 Cal. Sup. Crescent Securities; Frank X. Mantovani; Here Ct. Halpern & Mantovani; The Lambeth Company; Stanley Chais/Helen Epstein Living Trust 3/17/09 Florida Westport National Bank; Robert L. Silverman; Here Cir. Ct. PSCC Services; PSCC, Inc./Richard Abramowitz; Howard Pomerantz as Trustees for the Abramowitz & Pomerantz, PA Retirments Plan; Robin Abramowitz, IRA; Howard Pomerantz IRA; Wendy Sager Pomerantz IRA 3/19/09 N.J. Sup. Fiserv Investment Support Services; Fiserv Here Ct. Inc.; First Trust Corporation; Retirement Accounts, Inc.; Fiserv Trust Company; NTC & Co.; TD Ameritrade Trust Company/ Stephen Squires on behalf of all persons whose IRA investments in Madoff were held by Fiserv {Note: On 4/24/09, this action was removed to D.N.J. Civil Action No. 09-cv-01960} 3/24/09 Cal. Sup. Morton D. Kurzrok/Dichter-Mad Family Here Ct. Parnters {Note: On May 4, 2009, case removed to C.D.Cal. Civil Action No. 09-cv-3099} 3/24/09 Sup. Ct. Beacon Associates Management Corp.; Ivy Here N.Y. Asset Management Corp.; Ivy Asset Management LLC; Friedberg, Smith & Co. P.C.; Joel Danziger; Harris Markhoff/Beacon Associate LLC II Nominal Defendant/Joel Sacher and Susan Saher 3/30/09 Conn. Bernard L. Madoff; Tremont Partners, Inc.; Here Sup. Ct. Tremont Group Holdings, Inc.; Oppenheimer Acquisition Corp.; Maxam Capital Management LLC; Maxam Capital GP LLC; Maxam Capital Management Limited; individual defendants; Peter B. Madoff; Ruth Madoff; Mark D. Madoff; Andrew H. Madoff/ Retirement Program for Employees of the Town Of Fairfield; Retirement Program for Police Officers and Firemen of the Town of Fairfield; Town of Fairfield 4/1/09 N.Y. Sup. Andover Associates Management Corp.; Ivy Here Ct. Asset Management Corp.; Ivy Asset Management LLC; Citrin Cooperman & Co. LLP; Margolin Winer Evens LLP; Joel Danziger; Harris Markoff/ Andover Associates LLC I Nominal Defendant/ Charles J. Hecht 4/1/09 Mass. Rye Select Broad Market Prime Fund L.P.; Here Sup. Ct. Tremont Partners, Inc.; Tremont Group Copyright 2010 Kevin M. LaCroix
  • Holdings, Inc.; Oppenheimer Acquisition Corp.; Massmutal Holdings LLC; Massachusetts Mutual Life Insurance Company; individual defendants/Family Swimmers Limited Partnership on behalf of all investors in Rye Select Broad Market Prime Fund L.P Note: On May 13, 2009, this action was removed to D. Mass (Civil Action No. 09-10784) 4/6/09 N.Y. Sup. J. Ezra Merkin; Gabriel Capital Corporation; Here Ct. BDO Seidman LLP; BDO Tortuga f/k/a BDO Cayman Islands/ CRT Investments, Ltd., Mortimer Zuckerman 4/6/09 Fla. Cir. American Express Bank Ltd. d/b/a Standard Here Ct. Chartered Private Bank a/k/a Standard Chartered Bank International (Americas) Limited; Standard Chartered Bank; individual defendants; Fairfield Greenwich Group; Fairfield Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; individual defendants; PricewaterhouseCoopers LLP; Citgo Fund Services (Europe) B.V./Headway Investment Corporation {Note:On May 22, 2009 this case was removed to, the United States District Court for the Southern District of Florida; Civil Action No. 1:09-cv-21395). 4/14/09 Mass. Rye Select Broad Market XL Fund, L.P.; Here Super. Ct. Tremont Partners, Inc.; Tremont Group Holdings, Inc.; Oppenheimer Acquisition Corp.; Massmutual Holdings LLC; Massachusetts Mutual Life Insurance Company; BNY Alternative Investment Services; Bank of New York Mellon; individual defendants/ Lawrence J. Rothschild on behalf of investors in the Rye Select Broad Market XL Fund L.P. during the class period {Note: This action was removed to the District of Massachusetts on May 22, 2009, refer here} 4/30/09 Del. Joanne Olian; Estate of Howard Olian; Wintex Here Chanc. Ct. Mill Inc. (Nominal Defendant)/Lazy River Investment Company 5/5/09 N.Y. Sup. Harmony Partners Ltd.; Harmony Services, Here Ct. Inc.; Harmony Services LLC; individual defendants/ Max Goldweber 5/7/09 Fla. Cir. Tremont Group Holdings; Tremont Partners, Here Ct. Inc.; Rye Select Broad Market Fund, L.P.; Select Broad Market Prime Fund L.P.; Select Broad Market XI Fund, L.P.; KPMG LLP/Robert Cocchi; Penni Ellen Fromm; PFF Associates, Inc.; Brian Gaines; John Johnson; Dr.David Schwarzchild; Dr. Herbert Silverberg; John Silverberg; Dr. Jerry Weiss; Donna Weiss; the Norman Shulevitz Foundation, Inc.; RM Management LLC; Sande Wische; Carol Wische; Copyright 2010 Kevin M. LaCroix
  • Paula Zitrin; Dr. Jaron Zitrin; Rachel Zitrin; Dr. Roger Zitrin 5/12/09 N.M. Dist. Austin Capital Management/State of New Here Ct. Mexico ex. rel. National Education Association of New Mexico on behalf of the Educational Retirement Board and the State Investment Council {Note: On July 27, 2009, this action was removed to the United States District Court for the District of New Mexico, Civil Action No. 1:09- cv-00730, refer here} 5/13/09 Cal. Sup. Stanley Chais; The Lambeth Company; Francis Here Ct. X. Montavani; Halpern & Montovani; Crescent Securities, Nominal Defendant/Douglas Hall as Co-Trustee of Vivian H. Hall IRA and derivatively on behalf of Crescent Securities 5/13/09 Cal. Sup. Stanley Chais; The Popham Company; Francis Here Ct. X. Montovani; Halpern & Montovani; Marloma Securities, Nominal Defendant/Stephen Heimoff derivatively on behalf of Marloma Securities 5/15/09 N.Y. Kingate Management Limited; Here Sup.Ct. PricewaterhouseCoopers Bermuda; Pricewaterhouse Coopers International Limited; Citi Hedge Fund Services, Limited; individual defendants; Kingate Global Fund Limted /John Bruhl,derivatively on behalf of Kingate Global Fund Limited 5/15/09 N.Y. Sup. Fairfield Greenwich Group; Fairfield Here Ct. Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Fairfield Risk Services Ltd.; CITGO Fund Services (Europe) BV; CITGO Bank Netherland N.V., Dublin Branch; CITGO Global Custody N.V.; individual defendants; PricewaterhouseCoopers, LLP; PricewaterhouseCoopers Accountants N.V.; PricewaterhouseCoopers International Limited; Fairfield Sentry Limited Nominal Defendant /Morning Mist Holdings Limited and Miguel Lomeli derivatively on behalf of Fairfield Sentry Limited {Note: On May 28, 2009, this action was removed to the S.D.N.Y., Civil Action No. 1:09-cv-5012} 5/29/09 N.Y. Sup. Fairfield Greenwich Group, Fairfield Here Ct. Greenwich (Bermuda) Limited; Fairfield Greenwich Advisors LLC; Fairfield International Managers, Inc.; individual defendants/Fairfield Sentry Limited 5/27/09 Mass. Rye Select Marked Fund L.P.; Tremont Here Superior Partners, Inc. ; Tremont Group Holdings, Inc.; Ct. Oppenheimer Acquisition Corp.; Massmutual Holding LLC; Massachusetts Mutual Life Insurance Company; individual defendants/ Arthur S. Simons on behalf of all persons who Copyright 2010 Kevin M. LaCroix
  • invested in Rye Select Broad Market Funds {Note: On July 2, 2009, this action was removed to D. Mass, see linked document} 6/5/09 N.Y. Sup. J. Ezra Merkin; Gabriel Capital Corp.; BDO Here Ct. Seidman LLP/ Vadja Family Trust, derivatively on behalf o Ascot Partners L.P. and Gabriel Capital L.P. 6/15/09 N.Y. Sup. BDO Seidman LLP; BDO Tortuga f/k/a BDO Here Ct. Cayman Islands; BDO Global Coordination B.V/Bart M. Schwartz as receiver for Ariel Fund Limited and Gabriel Capital, L.P. 6/16/09 N.M. Dist. Austin Capital Management; Austin Capital Here Court Management GP Corporation; Victory Capital Management, Inc.; KeyCorp; Berean Capital; Tremont Partners, Inc.; Tremont Capital Management; Tremont Group Holdings, Inc.; Oppenheimer Funds, Inc; individual defendants/State of New Mexicao ex. rel. Frand Foy and Suzanne Foy 7/2/09 N.Y. Sup. Peerstate Equity Fund L.P., Robert N. Getz Here Ct. LLC, Robert Getz, Stephen Getz/Judith W. Bailey Individually and as Executor of the Estate of Richard Bailey and as Successor Executor to the Estate of Suzanne Bailey 7/8/09 Ct. Connecticut Community Bank, N.A., owner of Here Superior Westport National Bank/Ben R. Backus as Court Trustee of the W.R. Johnson Co. Pension and Profit-Sharing Plan, et al., 7/10/09 Cal. Sup. American Express Bank Ltd.; American Here Ct. Express Bank International; Standard Chartered PLC; individual defendants/Maria Akriby Valladolid 7/16/09 Md. Circ. Jack Kay; Kay Management Inc.; Kay Here Ct. Investment Group LLC; individual defendants/ George Wasserman and Janice Wasserman; Goldstein Family Limited Liability Company as general partner and on behalf of various entities 7/16/09 Fla. Circ. Merrill, Lynch, Pierce, Fenner & Smith/ Here Ct. Morselife Foundation, Inc. Note: On 8/7/09, this case was removed to the Southern District of Florida, Civil Action No. 09-81143 (here) 8/17/09 Sup. Ct. Frank J. Avellino; Kenn Jordan Associates; Here N.Y. Kenn Jordan Foundation; Mayfair Bookeeping Services, Inc.; The Avellino Family Foundation, Inc.; Grosvenor Partners, Ltd.; Mayfair Management, Inc.; Mayfair Ventures G.P.; individual defendants; Mayfair Pension Plan/Daniel C. Gascoyne; Grace G. Delury Irrecovable Trust; Edna Guittierez F/B/O Special Account for Gutierrez Children; Terrence Gascoyne; Margaret Gascoyne 9/10/09 Ct. Sup. BDO Seidman, LLP/The Calibre Fund LLC Here Ct. 1022/09 Sup.Ct. Friehling & Horowitz, P.C.; KPMG, U.K.; Here Copyright 2010 Kevin M. LaCroix
  • N.Y. KPMG International; J.P. Morgan Chase & Co.; The Bank of New York Mellon; Paul Koningsburg; Annette Bongiorno; Frank DiPascali; Andrew Madoff; Mark Madoff; Peter Madoff/Matthew Greenberg; Walter Greenberg; Doris Greenberg; The Estate of Leon Greenberg 10/22/09 Sup Ct. KPMG International; KPMG U.K.; J.P. Here N.Y. Morgan Chase; The Bank of New York Mellon; Beacon Associates Management Corp; Ivy Asset Management Corp.; Joel Danziger; Harris Markoff; Friedberg, Smith & Co. P.C.; Paul Konigsburg; Annette Bongiorno; Frank Dipascali; Andrew Madoff; Mark Madoff; Peter Madoff; Beacon Associates LLC II, Nominal Defendant; Donna M. McBride, individually and derivatively on behalf of Beacon Associates LLC II 11/19/09 Cal. Sup. KPMG, LLP; Tremont Capital Management, Here Ct. Inc.; Tremont Group Holdings, Inc.; Tremont Partners, Inc.; Rye Investment Management; Rye Select Broad Market XL Fund, L.P.; Oppenheimer Acquisition Corporation; Mass Mutual Holding LLC; Massachusetts Mutual Life Insurance Co./Brian Faith and Sharon Faith individually and as trustees of the Bryon L. Faith and Sharon E. Faith Revocable Living Trust 11/19/09 Cal. Sup. Crosswater Financial Corporation; Crosswater Here Ct. Investment Advisors, Inc.; Clark Richards; KPMG, LLP; Tremont Capital Management; Tremont Group Holdings, Inc.; Tremont Partners, Inc.; Rye Investment Management; Rye Select Broad Market XL Fund, L.P.; Oppenheimer Acquisition Corporation; Mass Mutual Holding LLC; Massachusetts Mutual Life Insurance Co./ Michael Herman and Sandra Herman individually and as trustes of the Michael and Sandra Herman Trust 12/19/09 Fla. Cir. Coler, Donten, Levine, Porter & Veil, P.A. ; Here Ct. Rhonda Guinazzo/Susan Markin Table III: Other Proceeding (Please note that additional actions duplicative of items listed in this table follow in Table IV, below) Date Forum Defendants/Claimants Link D&O Diary Post 12/11/08 S.D.N.Y. Barnard L. Madoff and Bernard L. Madoff Here Investment Securities LLC/Securities and Exchange Commission 12/18/08 S.D.N.Y. J. Ezra Merkin/The Calibre Fund Here (Application for Temporary Restraining Order) 12/22/08 S.E.C. Securities and Exchange Commission/Phyllis Here Molchatsky (American Masters Broad Market Copyright 2010 Kevin M. LaCroix
  • Fund/ L.P.) 12/30/08 S.D.N.Y. Anthony, Maria and Toni Here Sciremammno/Bernard L. Madoff 1/2/09 S.D.N.Y. Irving H. Picard, Trustee for the SIPA Here (Bankruptcy Liquidation of Bernard L. Madoff Court Investment Securities LLC and JP Morgan Chase Bank, N.A./ Rosenman Family LLC 1/7/09 S.D.N.Y. Irving H. Picard, Trustee (etc.) and J.P. Here (Bankruptcy Morgan Chase Bank/Hadleigh Holdings LLC. Court) 1/12/09 S.D.N.Y. United States v. Bernard L. Madoff/Order in Here/ (Criminal Court Bail Proceeding/Notice of Appeal Here 1/15/09 Luxembourg UBS (Luxembourg) S.A.; Luxalpha SICA V/ Here Oddo Asset Management S.A. 1/26/09 S.D.N.Y. Citgo Group Limited; Citgo Fund Services Here (Europe) BV; PricewaterhouseCoopers LLP/ G. Phillip Stephenson as trustee for the Philip Stephenson Revocable Living Trust 1/30/09 Ct. Superior McGladrey & Pullen LLP & Goldstein Here Court Golub Kessler LLP/Maxam Absolute Return Fund L.P. 2/11/09 Office of the In the Matter of Cohmad Securities Here Here Secretary of the Corporation (Administrative Complaint and Commonwealth Ex Parte Motion for an Order Summarily (Massachusetts) Suspending Registration as a Broker-Dealer) 2/12/09 E. D. Pa. Austin Capital Management Ltd./ Pension Here Fund for Hospital and Health Care Employees –Philadelphia and Vicinity, on behalf of all employee benefits funds for whom Austin acted as investment manager and on whose behalf Austin invested plan assets in any Madoff- related investment during the period February 12, 2005 to the present. 2/13/09 D. Conn. PSCC Services, Inc.; Westport National Bank; TD Banknorth N.A.; Dennis P. Clark; Robert L. Silverman/Stephen R. Levinson; Richard E. Layton; Dr. R. Layton P.A. 401(l) Plan, on behalf of persons who were beneficiaries of omnibus accounts at BMIS maintained in the name of Westport National Bank 2/13/09 N.D. Fla. Arthur Nadel; Scoop Management; Scoop Here Capital; Peg Nadel; Bernard L. Madoff; Bernard L. Madoff Investment Securities, et al./Jonathan Lee Riches d/b/a Ervin Antonio Lupoe {Pro Se Complaint} 2/17/09 N.D. Tex. Stanford International Bank, Ltd.; Stanford Here Group Company; Stanford Capital Management LLC; R. Allen Stanford; James M. Davis; Laura Pendergest- Holt/Securities and Exchange Commission {Failure to Disclose Losses Arising from Madoff’s Funds} 2/19/09 S.D. Tex. Stanford International Bank, Ltd.; Stanford Here Copyright 2010 Kevin M. LaCroix
  • Group Company; Stanford Capital Management LLC; R. Allen Stanford; James M. Davis; Laura Pendergest- Holt/John Cochran on behalf all purchasers of Stanford CDs or shares in Stanford Allocation Strategy Fund {failure to disclose exposure to Madoff-related losses} 2/24/09 D.N.J. Peter Madoff/ The Lautenberg Foundation, Here Joshua S. Lautenberg, Ellen Lautenberg 3/16/08 E.D. Mich. Britney Spears; Kevin Federline; Securities Here and Exchange Commission/Bernard L. Madoff d/b/a Jonathan Lee Riches a/k/a Gino Romano, Inc. 3/17/09 M.D.Fla. Bernard Madoff/Gino Romano d/b/a Michael Here Scott Pesce 3/17/09 S.D.N.Y. David G. Friehling/United States of America Here (Criminal Complaint) 3/18/09 S.D.N.Y. Tremont Group Holdings, Inc.; Tremont Here Partners, Inc.; Rye Investment Management (a.k.a. Rye Investments, Inc.); Oppenheimer Acquisition Corporation; Oppenheimer Funds, Inc.; Massachusetts Mutual Life Insurance Company; individual defendants; KPMG LLP; Bank of New York Mellon Corporation; BNY Alternative Investment Services; Austin Capital Management; GP Corporation; NOMINAL DEFENDANTS: Rye Select Broad Market Fund LP; Rye Select Broad Market Prime Fund LP; Rye Select Broad Market Fund XL Fund LP; Austin Capital Safe Harbor ERISA Dedicated Fund Ltd.; Austin Capital Safe Harbor Master Account G.P./Laborers Local 17 Pension Plan and Daniel Jackson, derivatively and on behalf of all employee benefits plans that invested in Austin Safe Harbor Funds. 3/18/09 S.D.N.Y. David G. Friehling; Friehling & Horowitz, Here CPA, P.C./ Securities and Exchange Commission 3/25/09 N.Y.Sup.Ct. Peter B. Madoff/ Andrew Ross Samuels Here 4/1/09 Office of the Fairfield Greenwich Advisors LLC; Here Here Secretary of the Fairfield Greenwich (Bermuda) Ltd./ Commonwealth Enforcement Section of the Massachusetts (Massachusetts) Securities Division of the Office of the Secretary of the Commonwealth 4/2/09 W.D.N.Y. J.P Jeanneret Associates, Inc.; John P. Here Jenneret; Beacon Associates Management Corporation; Joel Danziger; Harris Markoff/Patrick Morin as Trustee of the Empire State Carpenters Pension Fund, Empire State Carpenters Annuity Fund and Empire State Carpenters Welfare Fun; James Willis as Trustee for Ironworkers Local No. 6 Copyright 2010 Kevin M. LaCroix
  • Pension Fund and Ironworkers Local No 6 Medical and S.U.B. Pay Plan; and Daniel McGraw and Theron Hogle as Trustees of the Engineers Joint Pension Fund Local Unions 17, et al., Engineers Joint S.U.B. Fund or Engineers Joint Training Fund, on behalf of all trustees of multi-employer pension plans for which defendants served as an investment manager or ERISA fiduciary and whose assets were invested in BMIS from April 30, 1991 to the present 4/6/09 Sup Ct. N.Y. J. Ezra Merkin; Gabriel Capital Here Here Corporation/ The People of the State of New York by Andrew M. Cuomo 4/9/09 S.D.N.Y Vizcaya Partners Limited; Banque Jacob Here (Bankr.) Safra (Gibralter) Ltd. a/k/a Bank J. Safra Limited/Irving H. Picard, Trustee for the Liquidation of Bernard L Madoff Investment Securities LLC {In re Bernard L. Madoff Investment Securities LLC} 4/13/09 S.D.N.Y. In re Bernard L. Madoff (Involuntary Here Bankruptcy Bankruptcy Petition) Court 4/14/09 S. D.Fla. Madoff Securities International Ltd. Here (Chapter 15 Bankruptcy Proceeding) 4/14/09 S.D.Fla. Peter B. Madoff/Stephen John Akers, Mark Here Richard Byers, and Andrew Laurence Hosking as Joint Provisional Liquidators of Madoff Securities International Limited {In re Madoff Securities International Limited} 4/17/09 S.D.N.Y. Alvin J. Delaire, Jr./Martin Schulman M.D.; Here Martin Schulman Individual Retirement Account; Suzanne M. Schulman 4/17/09 S.D.N.Y. Kingate Global Fund, Ltd.; Kingate Euro Here (Bankr.) Fund, Ltd.; Bank of Bermuda, Ltd./Irving H. Picard, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 4/23/09 S.D.N.Y JP Morgan Chase & Co.; JP Morgan Chase Here Bank NA/MLSMK Investments Company 5/1/09 S.D.N.Y. Stanley Chais, individually and as General Here (Bankr.) Partner in Defendants The Brighton Group; The Lambeth Company; and the Popham Company, and as trustee for Chais children’s trusts/Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 5/1/09 W.D.Tex The Board of Trustees of the Texas Here Ironworkers’ Fund; The Texas Ironworkers’ Pension Fund/Austin Capital Managemen, Ltd. 5/4/09 D.N.M. Bank of America; Merrill Lynch & Co.; Here others/ “Bernard Madoff” d/b/a Jonathan Lee Copyright 2010 Kevin M. LaCroix
  • Riches a/k/a/ Jonathan L. Riches Investment Securities LLC (Pro Se Complaint) 5/5/09 S.D.N.Y Irving Picard as Trustee for the SIPA Here (Bankr.) Liquidation of Bernard L. Madoff Investment Securities LLC; Maxam Absolute Return Fund L.P./Bank of America N.A.; Banc of America Securities LLC{In re: Bernard L. Madoff Investment Securities LLC} [Interpleader Complaint] 5/6/09 S.D.N.Y J. Ezra Merkin; Gabriel Capital L.P.; Ariel Here (Bankr.) Fund Ltd.; Ascot Partners L.P.; Gabriel Capital Corporation/ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 5/7/09 D. Conn. Bank of America, N.A./Maxam Capital Here Management LLC and Maxam Absolute Return Fund L.P. 5/7/09 S.D.N.Y. Roman Igolnikov; Sheldon S. Gordon; Here Matthew Stadtmauer; Union Bancaire Privee Asset Management LLC; UBPI Holdings, Inc.; Daniel de Picciotto; Michael De Picciotto; Guy de Picciotto; Christophe Bernard/Andrea Barron on behalf of investors in the UBP fund 5/8/09 S.D.N.Y. Beacon Associates Management; individual Here defendants; Ivy Asset Management LLC; Beacon Associates LLC I and Beacon Associates LLC II/William C. Towsley et al Trustees of the I.B.E.W. Local 43 and Electral Contractors Welfare Fund; John S. Kogut et al as Trustees of the I.B.E.W. Local 43 and Electrical Contractors Welfare fund; David J. Henderson et al as Trustees and Participants of the Oswego County Laborers’ Local 214 Pension Fund; Earl Hall et al as Trustees of the Oswego County Laborers’ Local 214 Pension Fund, on behalf of all persons whose ERISA covered benefit plan assets were harmed as a result of imprudent investments in the Beacon Associates funds in investments managed by Bernard Madoff 5/12/09 S.D.N.Y. Jeffry M. Picower; Barbara Picower; Here (Bankr.) Capital Growth Company; Favorite Funds; JA Primary Limited Partneship; JA Special Limited Partnership; other partnerships: The Picower Foundation; The Picower Institute for Medical Research/ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 5/12/09 S.D.N.Y. Harley International (Cayman) Ltd./ Irving Here (Bankr.) H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC Copyright 2010 Kevin M. LaCroix
  • {In re: Bernard L. Madoff Investment Securities LLC} 5/13/09 D.N.M. J. Ezra Merkin; Bernard Madoff; Stanley Here Chais, others/ “Irving Picard” d/b/a Jonathan Lee Riches (Pro Se Complaint) 5/18/09 S.D.N.Y. Fairfield Sentry Limited; Greenwich Sentry Here (Bankr.) L.P.; Greenwich Sentry Partners L.P./ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 5/27/09 D. Colo. Fiserv, Inc.; Fiserv Trust Company Here Retirement Accounts, Inc.; NTC & Co. LLP; Trust Industrial Bank; Lincoln Trust Co.; Robert Beriault Holdings, Inc.; TD Ameritrade Online Holdings Corp.; TD Ameritrade Holding Corp./Max Rudman, Betty Smelin, Raanan Smelin, on behalf of all - persons who had self-directed IRAs with Fiserv that were invested in BMIS 5/29/09 E.D.Pa. Meridian Capital Partners, Inc.; Meridian Here Diversified Fund, Ltd.; Meridian Diversified Fund Management, Ltd.; William H. Lawrence; Ernst & Young LLP/R.W. Grand Lodge of Free & Accepted Masons of Pennsylvania 6/5/09 S.D.N.Y. Irving H. Picard/Mary Albanese;, Brow Here (Bankr.) Family Partnership; Laurence Kaye; Suzanne Kaye; Rose Less, on behalf all persons who were investors in Bernard L. Madoff Investment Securities LLC from inception until December 11. 2008 {In re: Bernard L. Madoff Investment Securities LLC} [Class Action for Declaratory Judgment] 6/5/09 S.D.N.Y. Family Management Corporation; Seymour Here Zises; Andrea Tessler; Maxam Absolute Return Fund L.P.; Maxam Capital Mangement LLC; Beacon Associates LLC I; Beacon Associates Management Corp./John Ferrini; SEP F/B/O John Ferrini-Pershing LLC 6/10/09 S.D.N.Y. Bernard L. Madoff; Kingate Management Here Limited; Tremont (Bermuda) Limited; FIM Advisers LLP; CITI Hedge Fund Services Ltd. ; individual defendants/ Criterium Capital Funds B.V./BBF Trust/ Wall Street Securities S.A.; Banca Arner, S.A./ Alvaro Castillo on behalf all share holders of Kingate Global Fund, Ltd and Kingate Euro Fund Ltd. as of December 11, 2008 6/10/09 S.D.N.Y. Irving H. Picard/Mary Albanese;, Brow Here (Bankr.) Family Partnership; Laurence Kaye; Suzanne Kaye; Rose Less, on behalf all persons who were investors in Bernard L. Madoff Copyright 2010 Kevin M. LaCroix
  • Investment Securities LLC from inception until December 11. 2008 {In re: Bernard L. Madoff Investment Securities LLC} [Class Action for Declaratory Judgment] 6/10/09 D. Colo. First Trust Corporation Retirement Here Accounts, Inc.; Fiserv Trust Company; Trust Industrial Bank; Lincoln Trust Company; NTC & Co. LLP; TD Ameritrade Trust Company; TD Ameritrade Online Holding Corp.; Robert Beriault Holdings/William J. Cohen and Eleanor Cohen on behalf of all persons who had self- directed IRAs with Fiserv that were invested with BMIS 6/11/09 E.D. Pa. Austin Capital Management, Ltd.; Austin Here Capital Management Gp Corp.; individual defendants; Victory Capital Management; KeyCorp/Board of Trustees, Steamfitters Local 449 Retirement Fund; Joseph M. Little and Regis R. Claus guardians ad litem, on behalf of all employee benefit funds that named Austin Capital Management as investment manager and whose assets were invested with BMIS 6/12/09 N.D. Ill. Last Atlantis Partners LLC; Last Atlantis Here Capital Management; Irwin Berger; Stig Ostgaard/Robert C. Jenkins; Robert C. Jenkins Living Trust; Allen Hargest 6/12/09 S.D.Fla. Standard Chartered Bank International Here (Americas) Limited; Standard Chartered Private Bank/Jose Antonio Pujals; Rosa Julieta A. DePujals, on behalf of all defendants’ customers who were charged Fairfield Fees between June 12, 2004 and December 23, 2008 6/16/09 N.Y. Sup. Ct. Mark Madoff; Andrew Madoff/Richard Here Stahl 6/16/09 N.Y. Sup. Ct. Mark Madoff; Andrew Madoff/Reed Abend Here 6/22/09 S.D.N.Y. Cohmad Securities Corporation; Maurice J. Here Cohn; Marcia B. Cohn; Robert M. Jaffee/Securities and Exchange Commission 6/22/09 S.D.N.Y. Stanley Chais/Securities and Exchange Here Commissions 6/22/09 S.D.N.Y. Cohmad Securities Corporation; Maurice J. Here Cohn; Marcia B. Cohn; Robert M. Jaffee; other individual defendants// Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 6/22/09 M.D.Fla. Irving H. Picard; FBI Special Agent John Here Sereno; Captain Richard Conklin; Anthony Tuccinardi; Paul Tuccinardi; Angelo Tuccinardi; Mario Tuccinardi; Tony Socci; Jennifer Telesco; Stamford Police Copyright 2010 Kevin M. LaCroix
  • Department; Hillsborough County Sheriff’s Department; Tampa Police Department/Jonathan Lee Riches (pro se claimant) “a/k/a Bernard Madoff” [habeas corpus petition] 6/25/09 E.D.Pa. Austin Capital Management, Ltd.; Austin Here Capital Management Gp Corp.; individual defendants; Victory Capital Management; KeyCorp/Laborers’ District Counsel of Western Pennsylvania Pension Fund; Philip Ameris and; John C. Busee as Trustees, and on behalf of all benefit plans that had named Austin Capital Management as investment manager 6/26/09 S.D.N.Y. Safra National Bank of New York; Siam Here Capital Management Ltd.; Banque Jacob Safra (Gibralter) Ltd.; PricewaterhouseCoopers Accounting Services Ltd.; individual defendants/SSH Holdings Group Ltd on behalf of persons acquiring shares of Zeus Partners Ltd between December 1, 2004 and December 11, 2008 6/30/09 S.D. Fla. Horse Illustrated d/b/a Bow Tie Magazines, Here et al./”Bernard Madoff”, Jonathan Lee Riches (pro se complaint) 7/1/09 Calif. Dept. of Stanley Chais (Desist and Refrain Order) Here Corp. 7/2/09 S.D.N.Y. Gabriel Capital L.P.; Ezra Merkin; BDO Here Seidman LLP/Croscill Inc., Florence Kahn, Weiberg Intervivos Trust; Douglas J. Kahn 2008 Family Trust; David Kahn 2008 Family Trust 7/2/09 S.D.N.Y. Union Bancaire Privée; Union Bancaire Here Privée Asset Management LLC; UBPI Holdings, Inc.; individual defendants/Declan Farrell and Warren Pack on behalf of investors in Selectinvest Funds and other funds offered and managed by Union Bancaire Privée and its subsidiaries 7/8/09 N.Y. Sup. Ct. Gerald McEvoy/The Guardian Life Insurance Here Company of America 7/8/09 S.D.N.Y. Barry Drogy/The Guardian Life Insurance Here Company of America 7/13/09 S.D.Tex. The Commonwealth of Antigua and Here Barbuda/ Joan Gale Frank; Jon A. Bell; Samuel Bukrinsky; Jaime Alexis Arroyo Bornstein; Peggy Roif Rothstain; Juan C. Olano and John Wade in his capacity as trustee of the Microchip ID Systems Inc. Retirement Plan on behalf of all persons who were customers of Stanford International Bank Ltd. [Note: This Stanford Financial Group case contains allegations that SIBL invested with BMIS] Copyright 2010 Kevin M. LaCroix
  • 7/13/09 D. Colo. Richard A. Guggenheimer; Cathleen A. Here Lieberman; Norma Shapiro/Trust Industrial Bank d/b/a Fiserv Investment Support Services and NTC & Co. (complaint for declaratory judgment and for stay of class arbitration brought by all persons who opened self- directed IRAs with Fiserv that were invested with BMIS) 7/14/09 S.D.N.Y. Herald Fund SPC; HSBC Bank PLC; HSBC Here Securities Services/ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 7/15/09 S.D.N.Y. Federal Insurance Company/Ann & Hope Here Inc.; Helen Realty Co.; Samuel N. Chase; Irwin Chase; Marjorie Chase Alpert Torgan 7/15/09 S.D.N.Y. Alpha Prime Fund Limited; HSBC Bank Here PLC; HSBC Securities Services/ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 7/15/09 S.D.N.Y. Thybo Asset Management Fund; Thybo Here Global Fund Limited; Thybo Return Fund Limited; Thybo Stabel Fund Ltd. / Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 7/15/09 S.D.N.Y. Primeo Fund; HSBC Bank PLC; HSBC Here Securities Services/ Irving H. Picard Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC {In re: Bernard L. Madoff Investment Securities LLC} 7/17/09 S.D.N.Y. Anthony L.M. Inder Rieden; Dawn E. Here Davies; Euro-Dutch Management Ltd. ; Ernst & Young [Cayman Islands]; Ernst & Young [Bahamas]; Ernst & Young LLP; Harley International (Cayman) Ltd.; Fix Asset Management/Tradex Global Master Fund SPC Ltd. on behalf of all persons who owned shares of Santa Clara I Fund 7/21/09 S.D.N.Y. Gabriel Capital L.P.; Ezra Merkin; BDO Here Seidman L.P./Morris Fuchs Holdings LLC 7/22/09 S.D.N.Y. Kingate Management Limited; FIM Here Limited; FIM Advisers LLP; FIM (USA) Inc.; Citi Hedge Fund Services Ltd.; PricewaterhouseCoopers Bermuda; individual defendants/Andorra Banc Agric Reig SA, on behalf of investors in the Kingate Global and Kingate Euro Fund 7/29/09 S.D.N.Y. Ruth Madoff/Irving Picard Trustee for the Here Liquidation of Bernard L. Madoff { In Re: Liquidation of Bernard L. Madoff Investment Securities LLC} 8/5/09 S.D.N.Y. Beacon Associates LLC I/Beacon Associates Here Copyright 2010 Kevin M. LaCroix
  • Management Corp. 8/11/09 S.D.N.Y. Frank Dipascali, Jr./Securities and Exchange Here Commission 8/11/09 S.D.N.Y. Frank DiPascali, Jr./United States of America Here (Criminal Information) 8/12/09 Sup.Ct. N.Y. Larry Meistrich; Ari Friedman; Andrew Here Madoff; Nehst Media Enterprises, LLC; Red Coral LLC; Lil Nikki LLC/ Dana Offenbach 8/19/09 S.D.Fla. Standard Chartered Bank International Here (Americas) Limited; Standard Chartered PLC; Fairfield Greenwich Group; Fairfield Greenwich Limited; Fairfield Greewich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Fairfield Sentry Ltd.; Fairfield Sigma, Ltd.; Walter Noel, Jr.; individual defendants/Ricardo Lopez 8/20/09 D.Ariz. Joe Arpaio d/b/a Maricopa County Sheriff; Here Irving H. Picard; Frank Dispascali; David Friehling/”Bernard Madoff”; Johnathan Lee Riches 8/31/09 S.D.N.Y. J.P. Jeanneret Associates, Inc.; Ivy Asset Here Management, LLC; Bank of New York Mellon Corporation; individual defendants/ Plumbers & Steamfitters Local 267 Pension Fund and its trustees, on behalf of all persons who were provided with investment advisory services by J.P. Jeanneret or Ivy Asset Management at any time between January 1, 1996 through the present and who suffered damages as a result of Jeanneret's or Ivy’s decision to invest with BMIS 9/11/09 S.D.N.Y. Notz, Stucki Management (Bermuda) Here Limited; Notz, Stucki & Cie, S.A.; individual defendants; BDO Compagnie Fiduciaire, Luxembourg; UBS (Luxembourg) S.A.; PricewaterhouseCoopers Luxembourg; Frank DiPascali, Jr.; Peter Madoff; Andrew Madoff; Mark Madoff/Matias Erausquin; Enrique Erausquin; Liliana Controne; and Yolanda Freischknecht, on behalf of all persons who owned shares of Plaza Fund on December 10, 2008 9/15/09 Sup.Ct.N.Y. Fairfield Greenwich Advisors, LLC; Here Fairfield Greenwich Limited/Aon Services Corporation 9/17/09 Cal.Sup.Ct Stanley Chais/People of the State of Califonia Here 9/24/09 S.D. Fla. Standard Chartered Bank International Here (Americas) Limited/ Maridom Limited; Caribetrans; Abbot Capital, Inc. 10/2/09 S.D.N.Y. Peter Madoff; Mark Madoff; Andrew Here Madoff; Shana Madoff/ Irving Picard Trustee for the Liquidation of Bernard L. Madoff { In Re: Liquidation of Bernard L. Madoff Copyright 2010 Kevin M. LaCroix
  • Investment Securities LLC} 10/2/09 S.D.N.Y. J.P. Jeanneret Associates, Inc.; Ivy Asset Here Management Corporation; individual defendants/Board of Trustees of the Buffalo Laborers Security Fund, Board of Trustees of the Buffalo Laborers Welfare Fund, the Buffalo Laborers Welfare Staff Fund, on behalf of all ERISA plans advised by Jeanneret Associates or Ivy Asset Management to invest in any Madoff-related 10/13/09 S.D.N.Y. United States of America/Phyllis Molchatsky; Here Steven Schneider 11/11/09 N.D.N.Y. Bob Mantello and Earl N. Hall as Trustees Here of the Bricklayers and Allied Craftsman Local 2 Annuity Fund, et al./J.P. Jeanneret Associates Inc. (individual lawsuit brought by investment advisor against pension plan investors seeking declaratory judgment approving method of distribution of liquidated assets of the Income Plus Investment Fund, which had invested in BMIS) 11/13/09 S.D.N.Y. Jerome O’Hara; George Perez/Securities and Here Exchange Commission 11/25/09 M.D. La. Tremont Group Holdings, Inc.; Tremont Here Partners, Inc.; Oppenheimer Acquisition Corporation; KPMG, LLP; Rye Select Broad Market Fund L.P., Nominal Defendant/Municipal Employees Retirement System of Louisiana Individually and Derivatively on behalf of Rye Select Broad Market Fund L.P. 12/11/09 E.D.Va. FAMM a/k/a Families Against Mandatory Here Minimums, et al/Jonathan Lee Riches, d/b/a Bernard L. Madoff, a/k/a Bernie Madoff 1/4/10 W.D.Okla. Bernard Madoff/Jana LeDawn Stevens; Saud Here Fahd 1/6/10 D.D.C. Securities and Exchange Here Commission/Citizens for Responsibility and Ethics in Washington 1/15/10 D.Colo. Reader’s Digest d/b/a The Reader’s Digest Here Association, et al.,/Jonathan Lee Riches d/b/a/ Bernard L. Madoff a/k/a Bernie Madoff 1/19/10 E.D.Pa. AGL Life Assurance Company/The Michael Here S. Rulle Family Dynasty Trust 1/21/10 S.D. Fla. EFG Capital International Corp.; EFG Here Bank f/k/a/ EFG Private Bank SA/Lorrene da Silva Ferreira and Arlete da Silva Ferreira, on behalf of all customers of EFG who invested with Fairfield Sentry and who had not redeemed their interest as of December 11, 2008 2/5/10 S.D.N.Y. First Frontier L.P.; Frontier Capital Here Management, LLC; Frontier Advsiors Corp.’ Mark Ostroff, “FNU” Ostroff; Copyright 2010 Kevin M. LaCroix
  • Beacon Associates LLC I; Beacon Associates Management Corp; Ivy Asset Management Corp.; The Bank of New York; Mellon Corp.; Joel Danziger Esq.; Harris Markhoff, Esq.; Anchin, Block & Anchin LLP/ Jack Saltz as Trustee of Susan Saltz Charitable Lead Annuity Trust; Susan Saltz Descendants Trust; Susan Saltz 2/16/10 S.D.Fla. Jeffry W. Pickower Estate; Barbara Here Picower; Capital Growth Company; Decisions, Inc.; Favorite Funds; JA Primary Limited Partnership; JA Special Limited Partnership; JAB Partnership; JEMW Partnership; JF Partnership; JFM Investment Companies; JLN Partnership; JMP Limited Partnership; Jeffry M. Picower Special Company; Jeffry M. Picower, P.C.; Picower Foundation; The Picower Institute of Medical Research; The Trust F/B/O Gabrielle H. Picower/ Adele Fox, individually and on behalf of all persons who maintained customer accounts with BMIS who are not SIPA payees and who have not received the net account value scheduled in their BMIS accounts as of the day before the SIPA liquidation 2/23/10 D.Conn. Connecticut Community Bank, N.A., owner Here of Westport National Bank/Sol Davis, Individually and as Trustee of the Sol Davis Retirement Plan, et al. 2/24/10 D.N.J. Stephen Harbeck; Armando J. Bucelo, Jr.; Here Todd S. Farsha; William H. Heyman; William S. Jasien; David G. Nason; Mark S. Shelton; David J. Stockton/Lissa Canavan; Leslie Goldsmith; Judith Kalman 2/25/10 S.D.N.Y. Daniel Bonaventre/Securities and Exchange Here Commission 3/9/10 D.N.J. The Goldman Sachs Group; The Ayco Here Company/Jerome Goodman 4/12/10 N.D. Cal. Ivy Asset Management; The Bank of New Here York; Mellon Corp./Stephen C. Schott as Trustee for the Stephen C. Schott 1984 Trust 4/15/10 S.D. Fla. Safra National Bank of New York; Safra Here Asset Management Corporation/Enrique Fefer and Dalia Fefer as Trustees of the Enrique Usher Fefer Revocable Trust 4/19/10 Ct. Superior Westport National Bank, a division of Here Court Connecticut Community Bank, N.A.; PSCC Services, Inc; Robert Silverman/Howard F. Pitkin, Banking Commissioner 4/22/10 M.D. Tenn. Dolly Parton, D/B/A Dollyworld; Jonathan Here Lee Riches/Bernard L. Madoff Copyright 2010 Kevin M. LaCroix
  • Table IV: Additional Lawsuits Against Related Defendants Date Forum Defendants/Claimants Link D&O Diary Post 12/22/08 S.D.N.Y. Massachusetts Mutual Life Insurance Here Company; Oppenheimer Acquisition Corporation; Tremont Group Holdings, Inc.; Rye Investment Management Group; Harry Hodges; Rye Select Broad Market Prime Fund; Rye Select Broad Market Fund; Tremont Partner, Inc./Arthur Lange on behalf of all investors in the Rye Funds 12/23/08 S.D.N.Y. Rye Select Broad Market Fund, L.P.; Tremont Here Partners, Inc.; Tremont Group Holdings, Inc.; Rye Investment Management; individual directors and officers of Tremont/ Arthur Brainson IRA on behalf of limited partnership investors in Rye Select 1/9/09 S.D.N.Y. Fairfield Greenwich Group; Fairfield Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Walter M. Noel, Jr. and other individuals/ Pasha and Julia Anwar on behalf of investors in Greenwich Sentry L.P. {NOTE: This case was removed to federal court from N.Y. Sup. Ct. and consolidated with other federal court Fairfield Greenwich litigation, see consolidation order here} 1/12/09 S.D.N.Y. Fairfield Greenwich Group; Fairfield Here Greenwich (Bermuda) Ltd.; Fairfield Greenwich Limited; Fairfield Greenwich Advisors LLC; Fairfield Risk Services Ltd.; CITGO Bank Netherland N.V. Dublin Branch; CITGO Fund Services (Europe) B.V.; Walter Noel and other individuals/ Inter-American Trust, Elvira 1950 Trust, Carlos Gauch, Bonaire Limited on behalf of investors in the Fairfield Sentry Fund 1/20/2009 S.D.N.Y. Argus International Life Bermuda Limited; Here Argus Group Holdings Limited; Massachusetts Mutual Life Insurance Co,; Oppenheimer Acquisition Corporation; Rye Investment Management; Rye Select Broad Market Fund L.P., Rye Select Broad Market Insurance Portfolio, LDC; Tremont [Bermuda] Limited; Tremont Capital Management Inc.; Tremont Group Holdings, Inc., Tremont International Insurance Limited; Tremont Partners, Inc./ Chateau Fiduciaire S.A. as Trustee of the Map Trust on behalf of all persons who purchased or held variable universal life insurance offered by Argus International Life Bermuda Limited f.k.a. Tremont International Life Insurance Limited Copyright 2010 Kevin M. LaCroix
  • from January 2003 to the Present 1/30/09 D.Mass. Rye Select Broad Market Fund, L.P.; Tremont Here Partners Inc.; Tremont Group Holdings, Inc.; Oppenheimer Acquisition Corp.; MassMutual Holdings LLC; Massachusetts Mutual Life Insurance Company; individual officers and directors/ The William Kretschmar Revocable Trust and Inch of Gold on behalf of all investors in Rye Select Broad Market Fund, L.P. 1/30/09 C.D.Cal. Robert Schulman and other individual Here defendants/ Tremont Parnters, Inc.; Tremont Group Holdings, Inc; Rye Select Broad Market Fund f/k/a American Masters Broad Market Prime Fund L.P.; Massachusetts Mutual Life Insurance Co.; Oppenheimer Acquisition Corporation; MassMutual Holding Co.; Citibank N.A./White Trust Dated May 3, 2002 and Rigdon O. Dees III {Note: This case was originally filed in the Superior Court for Los Angeles County and removed to federal court;, a separate entry on the removed case appears above in Table II} 2/4/09 S.D.N.Y. Banco Santander S.A.; Banco Santander Here Here International; Optimal Investment Services S.A.; PricewaterhouseCoopers; HSBC Securities Services (Ireland) Ltd.; HSBC Institutional Trust Services (Ireland) Ltd.; HSBC Bank USA, N.A.; individual directors and officers/ Serol Holding Corporation on behalf of all persons or entities who owned shares of Optimal Strategic U.S. Equity Ltd. on December 10, 2008 2/6/09 D. Mass. Massachusetts Mutual Life Insurance Here Company; Mass Mutual Holding Company; Mass Mutual Holding Trust I; Oppenheimer Acquisition Corp; OppenheimerFunds, Inc.; individual directors and officers; Tremont Partners, Inc.; Tremont Group Holdings, Inc./ Madelyn Haines and Paul Zamrowski on behalf of limited partners in Tremont Market Neutral Fund L.P. and Tremont Market Neutral Fund II, L.P. 2/6/09 S.D.N.Y. Tremont Group Holdings, Inc.; Tremont Here Partners, Inc.; Rye Investment Management, Inc.; Oppenheimer Acquisition Corporation; Massachusetts Mutual Life Insurance Co.; Rye Select Broad Market Fund, L.P. f/k/a American Masters Broad Market Fund L.P.; Rye Select Broad Market Prime Fund L.P. f/k/ a American Masters Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund, L.P; Ernst & Young LLP, and KPMG LLP/Eileen Silvers and Richard J. Bronstein on behalf of all persons who purchased limited Copyright 2010 Kevin M. LaCroix
  • partnership interests in Rye Select Broad Market Fund L.P., Rye Select Broad Market Prime Fund L.P. or the Rye Select Broad Market XL Fund L.P. between December 21, 2003 through December 21, 2008. 2/17/09 S.D.N.Y. Tremont Group Holdings, Inc.; Rye Here Investment Management; Tremont Partners, Inc.; Robert Ivan Schulman; Rupert Andrew Allen; Cynthia J. Nicoll; Stephen Thomas Clayton; Oppenheimer Acquisition Corporation; MassMutual Holdings LLC; Massachusetts Mutual Life Insurance Company; Select Spectrum Partners LLC; Gary Busel; Ronald Pearson; KPMG LLP; and BDO Seidman LLP/John F. Keane Jr. Trustee on bhelaf of all investors who as of December 11, 2008 in Rye Select Broad Market Prime Fund, L.P; Rye Select Broad Market Fund L.P.; and Rye Select Broad Market XL Fund L.P. 2/18/09 S.D.N.Y. Argus Group Holdings Ltd.; Argus Here International Life Bermuda Ltd.; MassMutual Holding LLC; Massachusetts Mutual Life Insurance Company; Oppenheimer Acquisition Corp.; Rye Investment Management; Rye Select Broad Market Fund, L.P.; Rye Select Broad Market Insurance Portfolio LDC; Tremont (Bermuda) Ltd.; Tremont Capital Management; Tremont Group Holdings, Inc.; Tremont International Insurance Ltd.; Tremont Partners, Inc.; Ernst & Young LLP; KPMG, Ltd./ The Geoffrey Rabie Credit Shelter Trust, the Joanne Brenda Rabie Credit Shelter Trust on behalf of all persons that held policies issued by Tremont Insurance International or Argus International and managed by Tremont Capital Management or Rye, through December 10, 2008. 3/4/09 S.D.N.Y. Ariel Fund, Ltd.; Gabriel Capital Here Corporation; J. Ezra Merkin; Fortis Bank (Cayman) Ltd.; Fortis Prime Solutions (Cayman) Ltd; Fortis Bank BDO Tortuga; BDO International/ Nephrology Associates Pension Plan on behalf of all investors in the Ariel Fund Limited who had not redeemed their interests as of December 11, 2009 3/5/09 N.D.Tex. Irving Piccard; Bernard Madoff; Peter Here Madoff; Shana Madoff; Andrew Madoff; Banco Santander; Manuel Echevegria; Robert Jaffe; Cohmad Securities; Fairfield Greenwich Corp.; Optimal Investment Services; Rachel Piccoli; Gensee Capital Corp.; Pricewaterhouse Coopers; HSBC Holding PLC; Bank Medici/Emilo H. Chavez Jr., Chavez Esatate Copyright 2010 Kevin M. LaCroix
  • 3/5/09 S.D.N.Y. Bernard L Madoff; Bank Medici; Sonja Kohn; Here Peter Scheithauer; Herald USA Fund; Herald Luxemburg Fund; Bank Austria Creditanstalt; Unicredit S.A.; Primeo Select Fund; Primeo Executive Fund; Pioneer Alternative Investment; Thema International Fund PLC; individual defendants; Ernst & Young SA; Ernst & Young Global Ltd.; HSBC Holdings Plc; HSBC Institutional Trust Services (Ireland) Ltd.; HSBC Securities Services (Ireland) Ltd.; HSBC Securities Services S.A.; PricewaterhouseCoopers Chartered Accountants; PricewaterhouseCoopers International Limited; Friehling & Horowitz/Horst Leonhardt on behalf of those who purchased investments in funds that were controlled or managed by Medici between January 12, 2004 and January 12, 2009 3/11/09 S.D.N.Y. Fairfield Sentry Limited; Fairfield Greenwich Here (Bermuda) Ltd.; Fairfield Greenwich Limited; Fairfield Greenwich Group; PricewaterhouseCoopers; Jeffrey Tucker; Citco Fund Services [Europe] B.V.; Citco Global Custody N.V.; Andres Piedrahita; Jan Naess; Peter P. Schmid; Amit Vijahyvergiya; Walter M. Noel, Jr./The Knight Services Holdings Limited on behalf of all others similarly situated 3/10/09 S.D.N.Y Fairfield Greenwich Group; Fairfield Here Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Fairfield Risk Services Ltd.; Walter Noel, Jr.; Jeffrey H. Tucker; Andres Piedrahita/Shimon Laor, Michael Pompan, Mandes Investment & Enterprice Ltd. on behalf of all shareholders of Fairfield Sentry Ltd. as of December 11, 2008. 3/11/09 W.D.Wash. Tremont Group Holdings, Inc.; Tremont Here Partners, Inc.; Rye Investment Management (a.k.a. Rye Investments Inc.); Oppenheimer Acquisition Corporation; Oppenheimer Funds, Inc.; Massachusetts Mutual Life Insurance Company; individual defendants; KPMG LLP; Bank of New York; Mellon Corporation; BNY Alternative Investment Services, Inc.; Futureselect Portfolio Management Services, Inc.; NOMINAL DEFENDANTS: Futureselect Prime Advisor II, LLC; Rye Select Broad Market Fund LP; Rye Select Broad Market Prime Fund LP; Rye Select Broad Market XL Fund LP/John Dennis {NOTE: This case was voluntarily dismissed on 4/29/09, refer here} 3/11/09 S.D.N.Y. Argus International Life Bermuda Limited; Here Copyright 2010 Kevin M. LaCroix
  • Argus Group Holdings Limited; Massachusetts Mutual Life Insurance Co.; Oppenheimer Acquisition Corporation; Rye Investment Management; Rye Select Broad Market Fund L.P.; Rye Select Broad Market Insurance Portfolio, LDC; Tremont [Bermuda] Limited; Tremont Capital Management, Inc.; Tremont Group Holdings, Inc.; Tremont International Insurance Limited; Tremont Partners, Inc.; Ernst & Young LLP; KMPG LLP/ The Harriet Rutter Klein Revocable Truston behalf of persons who purchased or held deferred variable annuities from Argus during the period from March 2003 to the present 3/11/09 S.D.N.Y. Argus International Life Bermuda Limited; Here Argus Group Holdings Limited; Massachusetts Mutual Life Insurance Co.; Oppenheimer Acquisition Corporation; Rye Investment Management; Rye Select Broad Market Fund L.P.; Rye Select Broad Market Insurance Portfolio, LDC; Tremont [Bermuda] Limited; Tremont Capital Management, Inc.; Tremont Group Holdings, Inc.; Tremont International Insurance Limited; Tremont Partners, Inc.; Ernst & Young LLP; KMPG LLP/ The Matthew L. Klein Revocable Family Trust on behalf of persons who purchased or held variable universal life insurance policies from Argus during the period from March 2003 to the present 3/16/09 S.D.N.Y. Beacon Associates LLC I; Beacon Associates Here Management Corporation; Ivy Asset Management; Joel Danziger; Harris Markhoff; The Bank of New York; Mellon Corporation; Freidberg Smith & Co. P.C./Jay Raubvogel individually and as trustee of the M. Raubvogel Co. Trust, on behalf of purchasers of limited company interests of Beacon Associates LLP I between January 1, 2000 and December 11, 2008. 3/16/09 S.D.N.Y. Standard Chartered International USA (Ltd.); Here Standard Chartered PLC; Fairfield Greenwich Group; Fairfield Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Fairfield Sentry Ltd.; individual defendants; Jitendra Bhatia; Gopal Bhatia; Kishanchand Bhathia; Jayshree Bhatia; Mandakini Gajaria 3/19/09 S.D.N.Y. Worldwide Fund Management, Ltd.; Bank Here Austria Creditanstalt; Bank of Bermuda (Cayman) Limited; Bank of Bermuda (Luxembourg) S.A.; Bank Medici AG; Ernst & Copyright 2010 Kevin M. LaCroix
  • Young; Primeo Fund; Herald Fund SPC; HSBC Holdings plc; HSBC Institutional Trust Services (Ireland) Ltd.; HSBC Securities Services (Ireland) Ltd.; HSBC Securities Services (Luxembourg) S.A.; Pioneer Alternative Investment Management Limited; Pricewaterhouse Coopers; Thema International Fund plc; Unicredit S.A.; individual defendants/ Fabian Perrone and Chia-Hung Kao 3/24/09 S.D.N.Y. J. Ezra Merkin; Gabriel Capital Corporation/ Here Equal Investments Limited on behalf of all persons who owned Ariel Fund Ltd. shares as of December 11, 2008 3/25/09 S.D.N.Y. Banco Santander S.A.; Banco Santander Here International; Optimal Investment Services S.A.; HSBC Securities Services (Ireland) Ltd.; individual defendants; PricewaterhouseCoopers/Welinton David Santos; Adolfo Koblecovsky; Alejandro C. Arroyo; Mateo Codinas Abad; Juan Martin Aparicio; Balmica Gestion S.L. on behalf persons owning participating shares in the Optimal Strategic U.S. Equity Series of Optimal Multiadvosiors, Ltd. or the Optimal SUS Ireland Fund (Case Consolidated under Multidistrict Litigation Order, here) 3/31/09 S.D.N.Y. Massachusetts Holding LLC; Massachusetts Here Mutual Life Insurance Co.; Oppenheimer Acquisition Corp.; New York Life Insurance Company and Annuity Corporation; Rye Investment Management; Rye Select Broad Market Prime Fund L.P.; Rye Select Broad Market XL Fund LP; Rye Select Broad Market Insurance Portfolio; Tremont Capital Management; Tremont Opportunity Fund III LP; Tremont (Bermuda) Ltd.: Tremont Group Holdings, Inc.; Tremont Partners Inc.; individual defendants/F. Daniel Prickett 4/2/09 S.D.N.Y. Beacon Associates Management Corp.; Joel Here Danziger, Esq.; Harris Markhoff; Ivy Asset Management Corporation/ Plumbers Local 112 Health Fund on behalf of all persons who invested in Beacon Associates funds during the period August 9, 2004 to the present 4/3/09 D.Colo. Fiserv, Inc.; Fiserve Trust Company; NTC & Here Co.; Trust Industrial Bank; Robert Beriault Holdings, Inc.; Lincoln Trust Company; TD Ameritrade Online Holdings Corp.; TD Ameritrade Holding Corporation/ Eric D. Weinstein on behalf of all persons who were victims of Madoff's fraud through pension or IRA accounts with Fiserv, Inc. et al 4/9/09 S.D. Fla. Banco Santander S.A.; Banco Santander Here Copyright 2010 Kevin M. LaCroix
  • International; Optimal Investment Services S.A.; Optimal Multiadvisors Ltd.; Optimal Strategic U.S. Equity Ltd.; individual defendants; HSBC Institutional Trust Services (Ireland) Limited; and HSBC Securities Services (Ireland) Limited/Antonio Atencia Puado on behalf of investors in Optimal Mulitadvisors who held shares in Optimal Strategic U.S. Equity Ltd. as of December 11, 2008 (Case consolidated under Multidistrict Litigation Order, here) 4/10/09 S.D.N.Y. Tremont Group Holdings, Inc.; Tremont Here Partners, Inc.; Tremont (Bermuda) Limited; Oppenheimer Acquisition Corporation; KPMG LLP; KPMG (Cayman)/ Meridian Horizon Fund L.P.; Meridian Diversified Fund L.P.; Meridian Diversified Fund Ltd.; Meridian Diversified ERISA Fund; Meridian Absolute Return ERISA Fund; 4/23/09 S.D.N.Y. Fairfield Greenwich Group; Fairfield Here Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors LLC; Fairfield Sentry Limited; individual defendants; Citgo Bank Nederland N.V., Dublin Branch; Citgo Global Custody N.V.; Citgo Fund Services (Europe) B.V.; PricewaterhouseCoopers International Limited; PricewaterhouseCoopers LLP (US); PricewaterhouseCoopers Bermuda; PricewaterhouseCoopers Accountants; PricewaterhouseCoopers LLP Chartered Accountants/ Nadav Zohar and Ronit Zohar on behalf of all persons invested in Fairfield Sentry Ltd. as of 12/11/08 6/12/09 S.D.N.Y. Kingate Management Limited; FIM Limited; Here FIM Advisers LLP; FIM (USA) Incorporated; PricewaterhouseCoopers; PricewaterhouseCoopers Bermuda; CITI Hedge Fund Services Limited; Bank of Bermuda Limited; individual defendants/Silvana Worldwide Corp. on behalf of investors in Kingate Global Fund 6/24/09 S.D.N.Y. Kingate Management Limited; FIM Limited; Here FIM Advisers LLP; FIM (USA) Incorporated; PricewaterhouseCoopers; PricewaterhouseCoopers Bermuda; CITI Hedge Fund Services Limited; Bank of Bermuda Limited; individual defendants/ Eithan Ephrati on behalf of investors in Kingate Global Fund 6/26/09 S.D.N.Y. Bernard L. Madoff; Kingate Management Here Limited; Tremont (Bermuda) Limited; FIM Advisers LLP; CITI Hedge Fund Services; individual defendants/LucienGeldzahler on behalf of persons who invested in Kingate Global Copyright 2010 Kevin M. LaCroix
  • Fund Ltd. and Kingate Euro Fund Ltd. 8/3/09 S.D.N.Y. Tremont Capital Management, Inc.; Tremont Here Partners Inc.; Tremont Group Holdings, Inc.; Tremont (Bermuda) Limited; Rye Investment Management, Inc.; Oppenheimer Acquisition Corporation; Massachusetts Mutual Lifge Insurance Company; KPMG LLP; Bank of New York Mellon; Ernst & Young; SHL Capital, Ltd; individual defendants/The Lugano Trust; The Hermitage Trust; The Jaybee Trust; The Conick Trust; The Sonick Trust; The Clarick Trust and other Trusts 9/17/09 N.Y.Sup.Ct. Rye Select Broad Market Fund, L.P.; Rye Here Select Broad Market XL Fund, L.P.; Tremont Partners, Inc.; Tremont Group Holdings; Massachusetts Mutual Life Insurance Company; Oppenheimer Acquisition Corp.; Goldstein, Golub, Kessler & Company, LLC; McGladrey & Pullen LLP; KPMG LLP; BNY Alternative Investment Services, Inc.; The Bank of New York Mellon Corp.; Fiserv Inc.; individual defendants/Peter A. Zutty and Robert N. Zutty 1/13/10 S.D.N.Y. Tremont Partners/Trustees of the Washington Here State Plumbing and Pipefitting Industry Pension Plan, in their capacity as fiduciaries of the fund, individually and on behalf of all funds governed by ERISA that invested in any commingled fund or separate account managed by Tremont, the assets of which constitute ERISA plan assets 3/8/10 S.D.Fla. Banco Santander S.A.; Banco Santander Here International; Santander Bank and Trust, Ltd.; Optimal Investment Services, S.A.; Manual Echeverria Falla; Manuel Sanchez Castillo; Ana Maria Jaureguizar/Solymar Investments, Ltd.; Astrolite Investments, Ltd.; Sunrays Investments Ltd. Table V: Madoff-Related Insurance Coverage Litigation Date Court Defendants/Claimants Link D&O Diary Post 7/14/09 Minn. Dist. St. Paul Fire & Marine Insurance Company; Here Here Ct. Travelers Casualty and Surety Company of America/Upshur-Smith Laboratories, Inc. 7/15/09 S.D.N.Y. Federal Insurance Company/Ann & Hope Inc.; Here Here Helen Realty Co.; Samuel N. Chase; Irwin Chase; Marjorie Chase Alpert Torgan 7/20/09 Sup. Ct. N.J. Allied World National Assurance Company; Here Westchester Surplus Lines Insurance Company; United States Fire Insurance Company; Axis Surplus Lines Insurance Company/ Bleznack Black LLC 8/10/09 Del. Chanc. Certain Underwriters at Lloyd’s, London; Here Ct. Continental Casualty Company, Federal Copyright 2010 Kevin M. LaCroix
  • Insurance Company; Twin City Insurance Company; U.S. Specialty Insurance Company; National Union Fire Insurance Company of Pittsburgh, Pa.; Zurich American Insurance Company; Ace American Insurance Company; XL Specialty Insurance Company; Axis Insurance Company; RLI Insurance Company; Great American Insurance Company; ACE USA/ACE US Holdings, Inc./ Massachusetts Mutual Life Insurance Company; MassMutual Holding LLC; Oppenheimer Funds, Inc.; Tremont Group Holdings; Tremont Partners, Inc.; Tremont (Bermuda) Limited; Rye Select Broad Market Fund, L.P.; Rye Select Broad Market Insurance Fund, L.P.; Tremont Market Neutral Fund, L.P.; Tremont Opportunity Fund III, L.P.; Rye Select Broad Market Portfolio Limited; Rye Select Broad Market Prime Fund, L.P.; Rye Select Board Market XL Fund 8/19/09 S.D.N.Y. AIG International Group, Inc.; AIG Here Here International Insurance Company of California, Inc.; AIU Holdings, Inc.; Chartis Insurance/Robert and Harelene Horowitz on behalf of all Madoff investors who also had homeowners’ insurance policies with Fraud SafeGuard coverage 8/27/09 D.Conn. The Travelers Companies; St. Paul Mercury Here Insurance Company/Associated Community Bancorp; Connecticut Community Bank; Westport National Bank; Dennis Clark 12/9/09 S.D.N.Y. Fireman’s Fund Insurance Companies/Sharon Here Lissauer 12/21/09 S.D.N.Y. Austin Capital Management, Ltd.; Austin Here Capital Management GP Corp.; individual defendants; Victory Capital Management; KeyCorp/Laborers’ District Council Pension and Disability Trust Fund No.2; Justin Meighan and George Maloney, Trustees Copyright 2010 Kevin M. LaCroix