In re Merrill Lynch & Co., Inc

In re Merrill Lynch & Co., Inc

Plaintiff:	State Teachers Retirement System of Ohio, Life Enrichment Foundation, individually and on behalf of all others similarly situated, Alan Maltzman, Carl Esposito, Barbara Boland, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association, International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System, Mary Gidaro, Michael J. Savena, Gary Kosseff, Robert R. Garber, Patricia Arthur, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Elizabeth Estey, Tara Moore, Sean Shaughnessey, on behalf of the Merrill Lynch &Co., Inc., 401(k) Savings &Investment Plan, Francis Lee Summers,, III, James Eastman, Dominick J. Pascullo, Raymond Gonzales, Eidman David and N.A. Lambrecht, Derivatively on Behalf of Merrill Lynch and Co., Inc. and its Shareholders
Defendant:	Peter Stingi, John and Jane Doe 1, John and Jane Does 2 through 10, John and Jane Does 11 through 20, ANZ Securities, Inc., Banc of America Securities LLC, Barclays Capital Incorporated, BBT Capital Markets, a division of Scott & Stringfellow, Inc., BBVA Securities Inc., Blaylock Robert Van, LLC, BMO Capital Markets Corp., BMY Capital Markets, Inc., Cabrera Capital Markets, LLC, CastleOak Securities L.P, Charles Schwab & Co., Incorporated, CIBC World Markets Corp., D.A. Davidson & Co., Davenport & Company LLC, Deutsche Bank Securities, Inc., Ferris, Baker Watts, Incorporated, Fidelity Capital Markets a division of National Financial Services Corp., Fifth Third Securities, Inc., Fixed Income Securities, Inc., Fortis Securities LLC, Greenwich Capital Markets, Inc., H & R Block Financial Advisors, Inc, HSBC Securities, HVB Capital Markets, Inc., J.B. Hanauer & Co., J.J.B. Hilliard, W.L. Lyons, Inc., Jackson Securities LLC, Janney Montgomery Scott LLC, Jeffries & Company, Inc., KBC Financial Products USA, Inc., Keefe, Bruyette & Woods, Inc., KeyBanc Capital Markets Inc, Loop Capital Markets, Mellon Financial Markets, LLC, Mesirow Financial, Inc, Mizuho Securities USA Inc., Morgan Keegan & Company, Inc., Muriel Seibert &Co., Inc., NatCity Investments, Inc., Natixis Bleichroeder Inc, Oppenheimer &Co., Inc., Pershing LLC, Piper Jaffray & Co., PNC Capital Markets LLC, Raymond James & Associates, Inc., RBC Dain Rauscher Inc., Robert W. Baird & Co. Incorporated, Samuel A. Ramirez & Co. Inc., Santander Investment Securities Inc, Sterne Agee Capital Markets, Inc., Stifel, Nicolaus & Company, Incorporated, Stone & Youngberg LLC, TD Ameritrade, Inc., The Williams Capital Group, L.P., Toussaint Capital Partners, LLC, Unicredit Capital Markets, Inc., Utendahl Capital Partners, L.P., Vining, Sparks IBG, Limited Partnership, Wachovia Securities, Inc., Wedbush Morgan Securities Inc., William Blair & Company, LLC, Zions Direct, Inc., Heinz - Joachim Neuburger, Lawrence A. tosi, Jill K. Conway, David K. Newbigging, Deloitte & Touche LLP*, Merrill Lynch & Co., Inc. Plan Investment Committee, Merrill Lynch & Co., Inc. Plan Adminstrative Committee, Merrill Lynch & Co., Inc. Management Development and Compensation Committee, Louis Dimaria, John Does 1 Through 10, Investment Committee of the Merrill Lynch Savings and Investment Plan, Adminstrative Committee of the Merrill Lynch Savings and Investment Plan, John Does 1 through 30, Administrative Committee of the Merrill Lynch Co., Inc. 401 K Saving and Investment Plan, John Does 1 through 20, Being Current and Former Members of the Benefits of the Merrill Lynch &Co., Inc. Employee Stock Ownership Plan, John Does 21 through 40, Administrative Committee Defendants, Investment Committee Defendants and Senior Vice President, Human Resources Defendants
Plaintiff - Appellant:	Miriam Loveman
Defendant - Appellee:	Stanley O'Neal, Merrill Lynch & Co., Inc., Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Merrill Lynch Capital Trust II, Armando M. Codina, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti, Bank of America Corporation, Morgan Stanley & Co., Incorporated, A.G. Edwards & Sons, Inc., B.C. Ziegler and Company, Banc of America, Countrywide Securities Corporation, Blaylock & Company, Incorporated, Citigroup Global Capital Markets, Inc., Doley Securities, LLC, Fixed Income Securities, LP, FTN Financial Securities Corp., Goldman, Sachs & Company, J.P. Morgan Chase, J.P. Morgan Securities, RBC Capital Markets Corporation*, RBS Greenwich Capital, Stringfellow, Inc, Suntrust Capital Markets, Inc., SunTrust Robinson Humphrey, Inc., U.S. Bancorp Investments, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, John A. Thain, Walter E. Massey, William Barnet, III, Frank P. Bramble, Sr., John T. Collins, Gary L. Countryman, Charles K. Gifford, Kenneth D. Lewis, Monica C. Lozano, Thomas J. May, Thomas M. Ryan, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc.
Case Number:	11-1589
Filed:	April 22, 2011
Court:	U.S. Court of Appeals, Second Circuit
Nature of Suit:	STATUTES-Secur Comm Exchange

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Plaintiff: State Teachers Retirement System of Ohio
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Plaintiff: Life Enrichment Foundation, individually and on behalf of all others similarly situated
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Plaintiff: Louisiana Sheriffs' Pension and Relief Fund
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Plaintiff: Louisiana Municipal Police Employees' Retirement System
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Plaintiff: National Electrical Contractors Association, International Brotherhood of Electrical Workers
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Plaintiff: Iron Workers Locals 40, 361, 417 Union Security Funds
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Plaintiff: Iron Workers Local 580 Joint Funds
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Plaintiff: City of Pontiac Police and Fire Retirement System
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Plaintiff: City of Pontiac General Employees Retirement System
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Plaintiff: Mary Gidaro
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Plaintiff: Michael J. Savena
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Plaintiff: Gary Kosseff
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Plaintiff: Robert R. Garber
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Plaintiff: Patricia Arthur
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Plaintiff: Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds
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Plaintiff: Elizabeth Estey
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Plaintiff: Tara Moore
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Plaintiff: Sean Shaughnessey, on behalf of the Merrill Lynch &Co., Inc., 401(k) Savings &Investment Plan
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Plaintiff: Francis Lee Summers,, III
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Plaintiff: James Eastman
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Plaintiff: Dominick J. Pascullo
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Plaintiff: Raymond Gonzales
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Plaintiff: Eidman David
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Plaintiff: N.A. Lambrecht, Derivatively on Behalf of Merrill Lynch and Co., Inc. and its Shareholders
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Plaintiff - appellant: Miriam Loveman
Represented By:	David A. P. Brower
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Defendant: Peter Stingi
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Defendant: John and Jane Doe 1
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Defendant: John and Jane Does 2 through 10
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Defendant: John and Jane Does 11 through 20
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Defendant: ANZ Securities, Inc.
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Defendant: Banc of America Securities LLC
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Defendant: Barclays Capital Incorporated
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Defendant: BBT Capital Markets, a division of Scott & Stringfellow, Inc.
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Defendant: BBVA Securities Inc.
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Defendant: Blaylock Robert Van, LLC
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Defendant: BMO Capital Markets Corp.
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Defendant: BMY Capital Markets, Inc.
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Defendant: Cabrera Capital Markets, LLC
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Defendant: CastleOak Securities L.P
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Defendant: Charles Schwab & Co., Incorporated
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Defendant: CIBC World Markets Corp.
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Defendant: D.A. Davidson & Co.
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Defendant: Davenport & Company LLC
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Defendant: Deutsche Bank Securities, Inc.
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Defendant: Ferris, Baker Watts, Incorporated
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Defendant: Fidelity Capital Markets a division of National Financial Services Corp.
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Defendant: Fifth Third Securities, Inc.
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Defendant: Fixed Income Securities, Inc.
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Defendant: Fortis Securities LLC
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Defendant: Greenwich Capital Markets, Inc.
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Defendant: H & R Block Financial Advisors, Inc
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Defendant: HSBC Securities
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Defendant: HVB Capital Markets, Inc.
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Defendant: J.B. Hanauer & Co.
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Defendant: J.J.B. Hilliard, W.L. Lyons, Inc.
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Defendant: Jackson Securities LLC
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Defendant: Janney Montgomery Scott LLC
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Defendant: Jeffries & Company, Inc.
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Defendant: KBC Financial Products USA, Inc.
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Defendant: Keefe, Bruyette & Woods, Inc.
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Defendant: KeyBanc Capital Markets Inc
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Defendant: Loop Capital Markets
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Defendant: Mellon Financial Markets, LLC*
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Defendant: Mesirow Financial, Inc*
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Defendant: Mizuho Securities USA Inc.
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Defendant: Morgan Keegan & Company, Inc.
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Defendant: Muriel Seibert &Co., Inc.*
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Defendant: NatCity Investments, Inc.
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Defendant: Natixis Bleichroeder Inc
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Defendant: Oppenheimer &Co., Inc.
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Defendant: Pershing LLC*
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Defendant: Piper Jaffray & Co.
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Defendant: PNC Capital Markets LLC*
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Defendant: Raymond James & Associates, Inc.
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Defendant: RBC Dain Rauscher Inc.
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Defendant: Robert W. Baird & Co. Incorporated
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Defendant: Samuel A. Ramirez & Co. Inc.
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Defendant: Santander Investment Securities Inc
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Defendant: Sterne Agee Capital Markets, Inc.
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Defendant: Stifel, Nicolaus & Company, Incorporated
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Defendant: Stone & Youngberg LLC
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Defendant: TD Ameritrade, Inc.*
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Defendant: The Williams Capital Group, L.P.
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Defendant: Toussaint Capital Partners, LLC
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Defendant: Unicredit Capital Markets, Inc.
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Defendant: Utendahl Capital Partners, L.P.
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Defendant: Vining, Sparks IBG, Limited Partnership
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Defendant: Wachovia Securities, Inc.
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Defendant: Wedbush Morgan Securities Inc.
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Defendant: William Blair & Company, LLC
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Defendant: Zions Direct, Inc.
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Defendant: Heinz - Joachim Neuburger
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Defendant: Lawrence A. tosi
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Defendant: Jill K. Conway
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Defendant: David K. Newbigging
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Defendant: Deloitte & Touche LLP*
Represented By:	Brad S. Karp
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Defendant: Merrill Lynch & Co., Inc. Plan Investment Committee
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Defendant: Merrill Lynch & Co., Inc. Plan Adminstrative Committee
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Defendant: Merrill Lynch & Co., Inc. Management Development and Compensation Committee
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Defendant: Louis Dimaria
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Defendant: John Does 1 Through 10
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Defendant: Investment Committee of the Merrill Lynch Savings and Investment Plan
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Defendant: Adminstrative Committee of the Merrill Lynch Savings and Investment Plan
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Defendant: John Does 1 through 30
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Defendant: Administrative Committee of the Merrill Lynch Co., Inc. 401 K Saving and Investment Plan
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Defendant: John Does 1 through 20, Being Current and Former Members of the Benefits of the Merrill Lynch &Co., Inc. Employee Stock Ownership Plan
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Defendant: John Does 21 through 40
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Defendant: Administrative Committee Defendants
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Defendant: Investment Committee Defendants
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Defendant: Senior Vice President, Human Resources Defendants
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Defendant - appellee: Stanley O'Neal
Represented By:	Michael J. Chepiga
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Defendant - appellee: Merrill Lynch & Co., Inc.
Represented By:	Jay B. Kasner
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Defendant - appellee: Ahmass L. Fakahany
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Defendant - appellee: Gregory J. Fleming
Represented By:	Jonathan Polkes
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Defendant - appellee: Jeffrey N. Edwards
Represented By:	Michael Richard Young
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Defendant - appellee: Merrill Lynch Capital Trust II
Represented By:	Jay B. Kasner
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Defendant - appellee: Armando M. Codina
Represented By:	Richard W. Clary
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Defendant - appellee: Carol T. Christ
Represented By:	Richard W. Clary
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Defendant - appellee: Virgis W. Colbert
Represented By:	Richard W. Clary
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Defendant - appellee: Alberto Cribiore
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Defendant - appellee: John D. Finnegan
Represented By:	Richard W. Clary
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Defendant - appellee: Judith Mayhew Jonas
Represented By:	Richard W. Clary
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Defendant - appellee: Joseph W. Prueher
Represented By:	Richard W. Clary
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Defendant - appellee: Ann N. Reese
Represented By:	Richard W. Clary
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Defendant - appellee: Aulana L. Peters
Represented By:	Richard W. Clary
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Defendant - appellee: Charles O. Rossotti
Represented By:	Richard W. Clary
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Defendant - appellee: Bank of America Corporation
Represented By:	Eric Michael Roth
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Defendant - appellee: Morgan Stanley & Co., Incorporated
Represented By:	Mark Holland
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Defendant - appellee: A.G. Edwards & Sons, Inc.
Represented By:	Mark Holland
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Defendant - appellee: B.C. Ziegler and Company
Represented By:	Mark Holland
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Defendant - appellee: Banc of America
Represented By:	Mark Holland
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Defendant - appellee: Countrywide Securities Corporation
Represented By:	Mark Holland
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Defendant - appellee: Blaylock & Company, Incorporated
Represented By:	Mark Holland
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Defendant - appellee: Citigroup Global Capital Markets, Inc.
Represented By:	Mark Holland
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Defendant - appellee: Doley Securities, LLC
Represented By:	Mark Holland
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Defendant - appellee: Fixed Income Securities, LP
Represented By:	Mark Holland
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Defendant - appellee: FTN Financial Securities Corp.
Represented By:	Mark Holland
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Defendant - appellee: Goldman, Sachs & Company
Represented By:	Mark Holland
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Defendant - appellee: J.P. Morgan Chase
Represented By:	Mark Holland
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Defendant - appellee: J.P. Morgan Securities
Represented By:	Mark Holland
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Defendant - appellee: RBC Capital Markets Corporation*
Represented By:	Mark Holland
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Defendant - appellee: RBS Greenwich Capital
Represented By:	Mark Holland
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Defendant - appellee: Stringfellow, Inc
Represented By:	Mark Holland
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Defendant - appellee: Suntrust Capital Markets, Inc.
Represented By:	Mark Holland
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Defendant - appellee: SunTrust Robinson Humphrey, Inc.
Represented By:	Mark Holland
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Defendant - appellee: U.S. Bancorp Investments, Inc.
Represented By:	Mark Holland
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Defendant - appellee: UBS Securities LLC
Represented By:	Mark Holland
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Defendant - appellee: Wachovia Capital Markets, LLC
Represented By:	Mark Holland
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Defendant - appellee: Wells Fargo Securities, LLC
Represented By:	Mark Holland
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Defendant - appellee: John A. Thain
Represented By:	Andrew Joshua Levander
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Defendant - appellee: Walter E. Massey
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Defendant - appellee: William Barnet, III
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Defendant - appellee: Frank P. Bramble, Sr.
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Defendant - appellee: John T. Collins
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Defendant - appellee: Gary L. Countryman
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Defendant - appellee: Charles K. Gifford
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Defendant - appellee: Kenneth D. Lewis
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Defendant - appellee: Monica C. Lozano
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Defendant - appellee: Thomas J. May
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Defendant - appellee: Thomas M. Ryan
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Defendant - appellee: Merrill Lynch Capital Trust I
Represented By:	Jay B. Kasner
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Defendant - appellee: Merrill Lynch Capital Trust III
Represented By:	Jay B. Kasner
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Defendant - appellee: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By:	Jay B. Kasner
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Defendant - appellee: Citigroup Global Markets Inc.
Represented By:	Mark Holland
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