Defendant:	Neil N. Lapidus, John Nessel, Ascot Partners, L.P., Stepheny B. Riemer, Northern Trust, N.A., Miles &Shirley Fiterman Charitable Foundation, et al., Meredith Goldberg, Sylvia W. Lock Declaration of Trust, Dated April 13, 1982, Alyssa Goldberg, Lorraine Lock Nosworthy, Stanley J. Bernstein, Mistral (SPC), Pamela W. Goldberg, Russell J. DeLucia, I.I. Kotzen Company, Joshua Elkin, Melvin B. Nessel Revocable Trust, Amanda Goldberg Snyderman, Gail Nessel, Jay Gaines, Marcia Kotzen 2002 Revocable Trust, Susan Siegal, Estate of Sylvia W. Lock, Estate of Gilbert M. Kotzen, Joan Elkin Madison, Gregory Antoniazzi, Melvin B. Nessel 2006 Trust u/a/d, Gilbert M. Kotzen 1982 Trust, Frederic J. Perlen, Marital Trust created under Revocable Trust of Marvin G. Graybow, Hess Kline Rev. Trust, et al., Fiterman Investment Fund, et al., Paul Rampell, Miles Q. Fiterman Revocable Trust, et al., Sumitomo Mitsui Trust Bank, Limited, Sharon L. Graybow, Jeremy Goldberg, Elena Elkin, Defendants' listed in Appendix A of the Court's April 13, 2012 Order, Melvin N. Lock Trust, James Nosworthy, Frank A. Petito, DBA The Petito Investment Group, Zephyros Limited, Metro Motor Imports, Inc., et al, Frederick Goldberg and Linda S. Paresky
Petitioner:	Securities Industry and Financial Markets Association
Defendant / Appellee:	Estate of Sarah E. Pearce, Diane Ringler, Jelris & Associates, L.P., Daniel Schneider, Isaac Jimmy Mayer, Serene Warren Revocable Trust, Janice M. Calesa 1984 Trust, Merlin & Associates, Ltd., BDG Daniel Street, LLC, David Ivan Lustig, Neal Goldman, David Kostin, EDB Capital, LLC, Gordon Mackenzie, ALICE ROSENWALD FUND, PetCareRx, Inc., Ashby Investment Services Limited, Brad Blumenfeld Charitable Lead Trust, BCC II, LLC, Double B Squared LLC, Pioneer Alternative Investment Management Limited, Kenneth L. Evenstad Revocable Trust, u/a/d May 2, 2000, Hilda Hausner, Marcia Koff, Laurie Frenchman, Meredith Aufzien Bauer, METROPOLITAN PHILANTHROPIC FUND, INC., Evelyn Fisher, individually and as trustee, AMERICAN SECURITIES GROUP, L.L.C., Chester Management Cayman Limited, Elizabeth R. Varet Defined Benefit Plan & Trust, Macher Family Partnership, Nina Rosenwald, individually and as trustee of the Apollo Trust for Elizabeth R. Varet UAD as trustee of Issue 1 Trust UAD FBO Alice Rosenwald, as trustee of Issue 1 Trust UAD FBO Elizabeth R. Varet, as trustee of Issue Trust 5 UAD FBO B, LaGuardia Corporate Center Associates, LLC, UniCredit Bank Austria AG, Kingate Euro Fund, Ltd., Joel Yanowitz, BDG DWD Associates, LLC, AMERICAN PHILANTHROPIC FOUNDATION, Glantz-Ostrin Trust I, 1995 Jack Parker Descendant Trust No. 1, in 12-cv-2875, Barclays Private Bank & Trust Limited, El Prela Trading Investments Limited, David R. Varet, Richard Spring, Ashby Holding Services Limited, PIPARTNERS, Edward and Susan Blumenfeld Charitable Lead Trust, Kenneth Macher, David I. Lustig, Charles Murphy, LaGuardia Corporate Center Associates, L.P., Grace B. Evenstad, in her capacity as Trustee for the Kenneth L. Evenstad Revocable Trust, individually, as co-trustee of the Grace B. Evenstad Revocable Trust, David Blumenfeld Family Trust, Grace B. Evenstad Revocable Trust, Cynthia A. Delles, Stephen H. Stern, Blumco Setauket, LLC, BDG Lake Grove I, LLC, American Securities Management, L.P., FKA American Securities, L.P., Kenneth L. Evenstad, in his capacity as Grantor and Trustee for the Kenneth L. Evenstad Revocable Trust, individually, as co-trustee of the Grace B. Evenstad Revocable Trust, Banco Itau Europa International, Jeanne T. Spring Trust, Leslie Aufzein Levine, individually and in his capacity as a Joint Tenant, Santiago Reyes, Sherry Gaines, EJS, BDG Yaphank, LLC, Adam P. Glick, in 12-cv-2875, Fairfield International Managers, Inc., DOS BFS FAMILY PARTNERSHIP II, L.P., DONALD AND BETTE STEIN FAMILY TRUST, DONALD O. STEIN, WILLIAM STEIN, JAMIE STEIN WALKER, and BARBARA STEIN JAFFE, Serene Warren, as co-trustee of the Serene Warren Revocable Trust, BDG 115 Broadhollow, L.P., Vista Management Company, Jeff E. Calesa, Daniel Lipton, ANCHORAGE CHARITABLE FUND, Benjamin R. Sigelman, individually and as beneficiary of Issue Trust 5 UAD FBO, as beneficiary of the Trust UAD FBO Benjamin R. Sigelman, Elizabeth R. Varet Money Purchase Pension Plan, Buckmaster Farms, L.P., Banco Itau Europa Luxembourg, S.A., Sew Preferred Limited Partnership, Deborah Madoff, Individually and in her capacity as Guardian for A.M. and E.M., Stacy L. Koff, individually as settlor and beneficiary of the Stacy L. Koff Investment Trust, Thelma Glantz Living Trust, Estate of Elena Jalon, Barclays Bank (Suisse) S.A., Fern Creek Limited Partnership, SPAssociates, James Greiff, Blanchefleur Macher, Jonathan R. Sigelman, individually and as beneficiary of Issue Trust 5 UAD FBO, as beneficiary of the Trust UAD FBO Jonathan R. Sigelman, Mary Ann Stefanelli, Ringler Partners, L.P., Regina Fisher, individually and as General Partner of RMGF Ltd. Partnership, BDG Construction Corp., John Reisman, in 12-cv-2875, Arthur and Rochelle Belfer Foundation, Inc, Stuart H. Coleman, as trustee of the Apollo Trust for Elizabeth R. Varet UAD of the Apollo Trust FBO Nina Rosenwald, as trustee of Issue 1 Trust UAD FBO Nina Rosenwald, of Issue 1 Trust UAD FBO Elizabeth R. Varet, of Issue 1 Trust UAD 8/30, Alexander G. Anagnos, as trustee of the 2004 V Trust and as trustee of Trust (A. Anagnos et al, trustees), BDG Commack, LLC, James R. Ledley, as trustee of Issue Trust 5 UAD FBO Jonathan R. Sigelman, as trustee of the Trust UAD FBO Jonathan R. Sigelman, Brad Blumenfeld, individually, and as Trustee, David Abel, Bank Julius Baer & Co., Ltd., McKool Smith,1 Bryant Park,47th Floor, New York, NY 10036, 212-402-9400, Lisa Aufzien, El Prela Trust, The Stacy L. Koff Investment Trust, MBE Preferred Limited Partnership, Hausner Group, Harold Greisman, Estate of Jesse L. Sigelman, Lustig Family 1990 Trust, Fairfield Greenwich (UK) Limited, Scott Ostrin Trust, Alexandra E. Hausner Cave, Port of Hercules Trustees Limited, Elizabeth R. Varet IRA Rollover, Jeffrey Hinte, Ostrin Family Partnership, Cyril Jalon, South Sea Holdings L.P., Michael Frenchman, Shannnon Mahoney Evenstad, in her capacity as Trustee for the Mark B. Evenstad Revocable Trust u/a/d January 30, 2003, individually, Sew General, LLC, Philip Toub, Maxrob, L.P., Tensyr Limited, Bonnie J. Kansler, UniCredit SPA, Michael Fisher, as Limited Partner of RMGF Ltd. Partnership, Edward Blumenfeld, individually, and as Trustee, Tesuji Partners, LLC, in 12-cv-2875, Trust f/b/o David Blumenfeld, PSAssociates, Amy Metzenbaum, First Peninsula Trustees Limited, Denise M. Angeja, Edward Blumenfeld and Susan Blumenfeld, Roberta Cohen, DWD Associates, LLC, American Securities Holdings Corp., American Securities Opportunity Fund, L.P., BDG Larkfield Associates, LLC, Robert H. Book, Jay Gaines &Co., Inc. Profit Sharing Plan, Glantz Family Foundation, Dogwood Realty Group, Richard M. Glantz, Calesa Associates L.P., Gregory Fisher, as Limited Partner of RMGF Ltd. Partnership, Gorvis LLC, a California Limited Liability Company, R.H. Book, LLC, Barclays Bank S.A., Ellen J. Wertheim, B-4 Partnership, Fairfield Greenwich Advisors LLC, Corina Noel Piedrahita, Stephanie S. Mack, c/o Cooley LLP, 1114 Avenue of the Americas, NY, NY 10036, 212-479-6000, Jerald Ostrin, Estate of Elaine Cooper, Steven Mnuchin, Alan Mnuchin, Generation Skipping Transfer Trust FBO Alan Mnuchin, Generation Skipping Transfer Trust FBO Steven Mnuchin, Trust FBO Alan Mnuchin, Trust FBO Ste, Andrew Kostin, Freda Epstein Revocable Trust, Norton S. Rosensweig, Daniel Land Co. LLC, 500 Bi-County Associates, L.P., David Blumenfeld Farmingdale Trust, M. Harvey Rubin Trust of, Belfer Corporation, DECIMAL INVESTMENTS, L.L.C., Fairfield Greenwich Limited, Elaine Ostrin, JRAG, LLC, in 12-cv-2876, Jonathan P. Rosensweig, Edward and Susan Blumenfeld Foundation, Grace & Company, Jerald Ostrin Trust, Zia Inayat Khan, KBC Investments Limited, 125 Bethpage Associates, Tesuji Partners, LLC, in 12-cv-2876, Other Listed Defendants, Anthony E. Stefanelli, BWI, Coblum Setauket, LLC, Andrew Smith, David B. Pearce, Linda Rosensweig, Ronald J. Stein, as trustee of the Trust UAD FBO Benjamin R. Sigelman, as trustee of the Trust UAD FBO Jonathan R. Sigelman, Pergament Equities, LLC, Edward Blumenfeld, et al, II, Trust U/T/A, BDG Deer Park Associates, LLC, Kara Fishbein Goldman, Jeff E. Calesa Trust 1989, Financiere Agache, Kim Dickstein, in 12-cv-2875, Harvey Cohen, individually, and as Trustee, David Silver, Joseph R. Varet, individually and as beneficiary and as trustee of the Issue Trust 5 UAD FBO Joseph R. Varet, Howard M. Koff, individually and in his capacity as Trustee of the Koff Living Trust, RMGF LTD. Partnership, The Koff Living Trust, Freda B. Epstein, Scott Ostrin, Trust F/B/O Alexandra E. Hausner Cave, Michael A. Varet, individually and as beneficial owner of one or more IRAs, as custodian for David R. Varet and Sara R. Varet, as trustee of the Michael A. Varet Trust UAD, Robert Roman, Brad Blumenfeld Farmingdale Trust, Robert Nystrom, C. Ray Johnson, in his capacities as trustee of the Stacy L. Koff Investment Trust and trustee of the David I. Koff Investment Trust, Mark B. Evenstad Revocable Trust u/a/d January 30, 2003, as a Limited Partner of MBE Preferred Limited Partnership, Austin Bosarge, Norman K. Aufzien, individually and in her capacity as Joint Tenant, Francine Fishman, as Limited Partners of RMGF Ltd. Partnership, Ashby Trust, Spring Family Trust, Alice Rosenwald, individually and as custodian for Jonathan Sigelman, as custodian for Benjamon R. Sigelman, as trustee and beneficiary of Issue 1 Trust UAD FBO Alice Rosenwald, as trustee and beneficiary of Issue Trust 6 UAD FBO, AKA Alice R. Sigelm, Robert A. Belfer and Renee E. Belfer Family Foundation, Jennifer Spring McPherson, Estate of Thelma Glantz, Lourdes Barreneche, ELLEN V. GREENSPAN, as trustee of the Trust (A. Anagnos et al., trustes), Mark McKeefrey, Alpine Trustees Limited, 45 South Service Road, LLC, Susan Blumenfeld Interiors, Ltd., Kostin Company, Elizabeth R. Varet, individually, and as custodian for Joseph R. Varet, as custodian and/or trustee of the Elizabeth R. Varet Money Purchase Pension Plan, as grantor of the 2004 V Trust, as trustee and beneficiary of the Apollo Trust for Elizabeth R., Michael N. Rosen, The David I. Koff Investment Trust, a member of Gorvis, LLC, Randi C. Crawford, Christopher Warren, as co-trustee of the Serene Warren Revocable Trust, JJG FOUNDATION, INC., Naidot & Co., David Blumenfeld, individually, and as Trustee, HUDSON CHARITABLE FUND, Kenneth Kreger, Randi M. Calesa 1986 Trust, Patricia Silver, Estate of Edward R. Glantz, Pioneer Global Asset Management S.p.A., Jonathan M. Aufzien, S.H. & Helen R. Scheuer Family Foundation, Inc., El Prela Group Holding Services Limited, Edward F. Calesa, Janice M. Calesa, Alan S. Gordon, in his capacities as trustee of the Stacy L. Koff Investment Trust and trustee of the David I. Koff Investment Trust, Sarah R. Varet, individually and as trustee and as beneficiary of Issue Trust 5 UAD FBO Sarah R. Varet, Kathy Hausner Grossman, Fairfield Greenwich (Bermuda) Limited, Cheryl K. Tomchin, Steven Goldman, Banco Bilbao Vizcaya Argentaria, Joint Tenancy of Phyllis Guenzburger and Fabian Guenzburger, Charitable Remainder Trust F/B/O Vivien Svigals, Citrus Investment Holdings Ltd., Robert Blum, Bull Market Fund, Michael Most, Susan Kostin, Migs Woodside, Edward Blumenfeld and Susan Blumenfeld 2007 Charitable Lead Trust, Morton Kurzrok, Susan Blumenfeld, individually, and as Trustee, Julie Schwartz, Peri Arenas, in 12-cv-2875, Kingate Global Fund, Ltd., Marjorie Most, MBE General LLC, as the General Partner of MBE Preferred Limited Partnership, Harold Anfang, in 12-cv-2875, Peter Pearman, as trustee for the Concorde 1987 Trust DTD, Visiting Nurse Service of New York, Inteligo Bank Ltd. Panama Branch, FKA Blubank Ltd Panama Branch, Joan Roman, Belinda F. Clarke, as trustee for the Concorde 1987 Trust DTD, David I. Koff, individually as settlor and beneficiary of the David I. Koff Investment Trust, Richard M. Glantz 1991 Living Trust, Harold J. Hein, Enhancement Group, Edward R. Glantz Living Trust, BDG 125th Street, LLC, Deborah Weinstein, Jerry Yanowitz, BDG Piscataway, LLC, 10 Michael Drive Associates, L.P., Maurice Harvey Rubin, Fairfield Heathcliff Capital LLC, Estate of Kay Frankel, WIlliam Rosenwald Family Fund, Inc., Boxwood Realty Group, Jay Gaines In His Fiduciary Capacity As Trustee Of The Jay Gaines & Co. Profit Sharing Plan, Lakeview Investment, LP, Jacqueline Harary, Gotham Plaza Associates, LLC, Robert A. Belfer, as Trustee of The Robert A. Belfer and Renee E. Belfer Family Foundation, Mark B. Evenstad, in his capacity as Grantor and Trustee for the Mark B. Evenstad Revocable Trust u/a/d January 30, 2003, individually, Edward Blumenfeld Gerald Y Mordfin, et al, BDG Kingsbridge, LLC, Blumenfeld Development Group, Ltd., Joint Tenancy of Robert Pinchou and Fabian Guenzburger, Marvin L. Olshan, Jill Fischer, in 12-cv-2875, Susan Blumenfeld GST Trust, Trust f/b/o Brad Blumenfeld, Richard Landsberger, THE ABSTRACTION FUND, Trust U/W/O David L. Fisher, Taj Inayat, Banca Carige S.P.A., in 12-cv-02408, Trust f/b/o Susan Blumenfeld, ARC-BDG Setauket Enterprise, Charleston Enterprises, LLC, Glantz-Ostrin Trust II, Linda Sohn, Brad Blumenfeld Family Foundation, Daniel F. Lindley, in 12-cv-2875 and Audax Group LP, Audax Management Co. LLC, 101 Huntington Holdings LLC, Marc B. Wolpow, Geoffrey S. Rehnert, Richard T. Joseph; Carol Nelson; Gordon Associates, Bruce Gordon; Robert M. Siff; Robert Ros
Plaintiff / Appellant:	Securities Investor Protection Corporation and Irving H. Picard
Amicus Curiae:	National Association of Bankruptcy Trustees and Financial Institution Defendants
Case Number:	12-2557
Filed:	June 21, 2012
Court:	U.S. Court of Appeals, Second Circuit
Nature of Suit:	Other

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