In Re: Refco Securities Litiga

In Re: Refco Securities Litiga

Debtor:	In re: Utendahl Capital Partners, L.P.
Plaintiff - Appellee:	American Financial International Group - Asia, LLC, Irv Kreitenberg, Steve Kreitenberg, Matthew Larson, Mark S. Kirschner, James P. Sinclair, as Trustee of the SphinX Trust, Index Recovery Co., L.P., FKA SphinX Managed Futures Index Fund, LP, The Trustees of the Masonic Hall and Asylum Fund, George Miller, Michael Albrecht, Kenneth M. Krys, as Joint Official Liquidators of Sphinx LTD, Sphinx Strategy Fund, LTD, Sphinx Plus SPC LTD, Sphinx Merger Arbitrage LTD, Sphinx Macro LTD, Sphinx Long/Short Equity LTD, Sphinx Managed Futures LTD et al and Christopher Stride, as Joint Official Liquidators of Sphinx LTD, Sphinx Strategy Fund, LTD, Sphinx Plus SPC LTD, Sphinx Distressed LTD, Sphinx Merger Arbitrage LTD, Sphinx Macro LTD, Sphinx Long/Short Equity LTD, Sphinx Managed Futures LTD et al
Movant - Appellant:	Jonathan Lee Riches
Defendant - Appellee:	Bennett Trust, Phillip R. Bennett, Leo R. Breitman, Bank of America Securities LLC, CMG Institutional Trading LLC, Joseph Collins, Deutsche Bank Securities Inc., Credit Suisse Securities (USA) LLC, Nathan Gantcher, Tone Grant, Goldman, Sachs & Company, Grant Thornton LLP, HSBC Securities (USA) Inc., David V. Harkins, Harris Nesbitt Corp., Scott L. Jaeckel, J.P. Morgan Securities LLC, Thomas H. Lee, Lind-Waldock Securities LLC, Santo Maggio, Ernst & Young, LLP, PriceWaterhouseCoopers LLP, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mayer Brown LLP, Sandler O'Neill Partners, L.P., Mayer Brown International LLP, William Blair & Company, L.L.C., Ingram Micro, Inc., EMF Financial Products, Delta Flyer Fund, LLC, Eric M. Flanagan, The Williams Capital Group, L.P., Guy Castranova, Derivative Portfolio Management LLC, DPM-Mellon, LLC, Coast Asset Management LP, Derivative Portfolio Management, Ltd., CS Land Management LLC, DPM-Mellon, Ltd., Capgemini U.S. LLC, Bank of New York Mellon Corporation, Robert Aaron, Donald J. Edwards, Thomas H. Lee Equity Fund V, L.P., William Kessinger, Mark Ramler, David Donnini, Robert C. Trosten, Edgar D. Jannotta, Jr., Vincent J. Hemmer, Mari Ferris, Philip A. Canfield, CIM Ventures Inc., JPMorgan Chase & Co., Dennis A. Klejna, Edward S. Best, Paul Koury, Thomas Hackl, Bawag P.S.K., Bank Fur Albeit Und Wirtschaft Und Osterreichische Posteparkasse Aktiengesellschaft, Thomas H. Lee Advisors, LLC, THL Managers V. LLC, THL Equity Advisors V. L.P., Thomas H. Lee Investors Limited Partnership, 1997 Thomas H. Lee Nominee Trust, Thomas H. Lee Equity (Cayman) Fund V. L.P., Scott A. Schoen, William T. Pigott, Liberty Corner Capital Strategies, LLC, EMF Core Fund, Refco Group Holdings Inc., Thomas H. Lee Partners, L.P., Thomas H. Lee Parallel Fund V, L.P., Richard Butt, Christopher Sugrue, Mark Kavanagh and Brian Owens
Case Number:	13-2556
Filed:	July 1, 2013
Court:	U.S. Court of Appeals, Second Circuit
Nature of Suit:	STATUTES-Secur Comm Exchange

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Debtor: In re: Utendahl Capital Partners, L.P.
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Plaintiff - appellee: American Financial International Group - Asia, LLC
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Plaintiff - appellee: Irv Kreitenberg
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Plaintiff - appellee: Steve Kreitenberg
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Plaintiff - appellee: Matthew Larson
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Plaintiff - appellee: Mark S. Kirschner
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Plaintiff - appellee: James P. Sinclair, as Trustee of the SphinX Trust
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Plaintiff - appellee: Index Recovery Co., L.P., FKA SphinX Managed Futures Index Fund, LP
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Plaintiff - appellee: The Trustees of the Masonic Hall and Asylum Fund
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Plaintiff - appellee: George Miller
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Plaintiff - appellee: Michael Albrecht
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Plaintiff - appellee: Kenneth M. Krys, as Joint Official Liquidators of Sphinx LTD, Sphinx Strategy Fund, LTD, Sphinx Plus SPC LTD, Sphinx Merger Arbitrage LTD, Sphinx Macro LTD, Sphinx Long/Short Equity LTD, Sphinx Managed Futures LTD et al
Represented By:	David Molton
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Plaintiff - appellee: Christopher Stride, as Joint Official Liquidators of Sphinx LTD, Sphinx Strategy Fund, LTD, Sphinx Plus SPC LTD, Sphinx Distressed LTD, Sphinx Merger Arbitrage LTD, Sphinx Macro LTD, Sphinx Long/Short Equity LTD, Sphinx Managed Futures LTD et al
Represented By:	David Molton
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Movant - appellant: Jonathan Lee Riches
Represented By:	Jonathan Lee Riches
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Defendant - appellee: Bennett Trust
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Defendant - appellee: Phillip R. Bennett
Represented By:	Adam C. Silverstein
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Defendant - appellee: Leo R. Breitman
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Defendant - appellee: Bank of America Securities LLC
Represented By:	Philip D. Anker
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Defendant - appellee: CMG Institutional Trading LLC
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Defendant - appellee: Joseph Collins
Represented By:	Jonathan P. Bach
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Defendant - appellee: Deutsche Bank Securities Inc.
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Defendant - appellee: Credit Suisse Securities (USA) LLC
Represented By:	Philip D. Anker
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Defendant - appellee: Nathan Gantcher
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Defendant - appellee: Tone Grant
Represented By:	Laura E. Neish
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Defendant - appellee: Goldman, Sachs & Company
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Defendant - appellee: Grant Thornton LLP
Represented By:	James David Reich
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Defendant - appellee: HSBC Securities (USA) Inc.
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Defendant - appellee: David V. Harkins
Represented By:	Kerry L. Quinn
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Defendant - appellee: Harris Nesbitt Corp.
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Defendant - appellee: Scott L. Jaeckel
Represented By:	Kerry L. Quinn
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Defendant - appellee: J.P. Morgan Securities LLC
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Defendant - appellee: Thomas H. Lee
Represented By:	Kerry L. Quinn
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Defendant - appellee: Lind-Waldock Securities LLC
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Defendant - appellee: Santo Maggio
Represented By:	Scott E. Hershman
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Defendant - appellee: Ernst & Young, LLP
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Defendant - appellee: PriceWaterhouseCoopers LLP
Represented By:	James Capra
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Defendant - appellee: Merrill Lynch, Pierce, Fenner & Smith Incorporated
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Defendant - appellee: Mayer Brown LLP
Represented By:	Thomas G. Ward
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Defendant - appellee: Sandler O'Neill Partners, L.P.
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Defendant - appellee: Mayer Brown International LLP
Represented By:	Anthony Mathias Candido
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Defendant - appellee: William Blair & Company, L.L.C.
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Defendant - appellee: Ingram Micro, Inc.
Represented By:	Paul Spagnoletti
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Defendant - appellee: EMF Financial Products
Represented By:	Veronica E. Rendon
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Defendant - appellee: Delta Flyer Fund, LLC
Represented By:	Veronica E. Rendon
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Defendant - appellee: Eric M. Flanagan
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Defendant - appellee: The Williams Capital Group, L.P.
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Defendant - appellee: Guy Castranova
Represented By:	Brian J. Pendleton
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Defendant - appellee: Derivative Portfolio Management LLC
Represented By:	Brian J. Pendleton
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Defendant - appellee: DPM-Mellon, LLC
Represented By:	Brian J. Pendleton
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Defendant - appellee: Coast Asset Management LP
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Defendant - appellee: Derivative Portfolio Management, Ltd.
Represented By:	Brian J. Pendleton
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Defendant - appellee: CS Land Management LLC
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Defendant - appellee: DPM-Mellon, Ltd.
Represented By:	Brian J. Pendleton
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Defendant - appellee: Capgemini U.S. LLC
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Defendant - appellee: Bank of New York Mellon Corporation
Represented By:	Brian J. Pendleton
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Defendant - appellee: Robert Aaron
Represented By:	Donald A. Corbett
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Defendant - appellee: Donald J. Edwards
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Defendant - appellee: Thomas H. Lee Equity Fund V, L.P.
Represented By:	Robert F. Carangelo
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Defendant - appellee: William Kessinger
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Defendant - appellee: Mark Ramler
Represented By:	James David Reich
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Defendant - appellee: David Donnini
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Defendant - appellee: Robert C. Trosten
Represented By:	Judith L. Mogul
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Defendant - appellee: Edgar D. Jannotta, Jr.
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Defendant - appellee: Vincent J. Hemmer
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Defendant - appellee: Mari Ferris
Represented By:	James P. Cusick
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Defendant - appellee: Philip A. Canfield
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Defendant - appellee: CIM Ventures Inc.
Represented By:	Paul Spagnoletti
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Defendant - appellee: JPMorgan Chase & Co.
Represented By:	Philip D. Anker
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Defendant - appellee: Dennis A. Klejna
Represented By:	Helen Byungsun Kim
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Defendant - appellee: Edward S. Best
Represented By:	Thomas G. Ward
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Defendant - appellee: Paul Koury
Represented By:	Brian David Linder
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Defendant - appellee: Thomas Hackl
Represented By:	Brian H. Brick
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Defendant - appellee: Bawag P.S.K.
Represented By:	Brian H. Brick
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Defendant - appellee: Bank Fur Albeit Und Wirtschaft Und Osterreichische Posteparkasse Aktiengesellschaft
Represented By:	Brian H. Brick
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Defendant - appellee: Thomas H. Lee Advisors, LLC
Represented By:	Richard Rosen
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Defendant - appellee: THL Managers V. LLC
Represented By:	Richard Rosen
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Defendant - appellee: THL Equity Advisors V. L.P.
Represented By:	Richard Rosen
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Defendant - appellee: Thomas H. Lee Investors Limited Partnership
Represented By:	Richard Rosen
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Defendant - appellee: 1997 Thomas H. Lee Nominee Trust
Represented By:	Richard Rosen
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Defendant - appellee: Thomas H. Lee Equity (Cayman) Fund V. L.P.
Represented By:	Richard Rosen
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Defendant - appellee: Scott A. Schoen
Represented By:	Richard Rosen
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Defendant - appellee: William T. Pigott
Represented By:	Brian H. Brick
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Defendant - appellee: Liberty Corner Capital Strategies, LLC
Represented By:	Brian H. Brick
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Defendant - appellee: EMF Core Fund
Represented By:	Brian H. Brick
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Defendant - appellee: Refco Group Holdings Inc.
Represented By:	Brian H. Brick
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Defendant - appellee: Thomas H. Lee Partners, L.P.
Represented By:	Richard Rosen
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Defendant - appellee: Thomas H. Lee Parallel Fund V, L.P.
Represented By:	Richard Rosen
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Defendant - appellee: Richard Butt
Represented By:	John Felix Cambria
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Defendant - appellee: Christopher Sugrue
Represented By:	Brian H. Brick
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Defendant - appellee: Mark Kavanagh
Represented By:	Brian H. Brick
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Defendant - appellee: Brian Owens
Represented By:	Brian H. Brick
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