Joseph Shanis v. Putnam Investments Trust

Joseph Shanis v. Putnam Investments Trust

Plaintiff - Appellant:	JOSEPH SHANIS and LEAD PLAINTIFF OHIO TUITION TRUST AUTHORITY
Plaintiff - -:	DIANE SAUNDERS, on behalf of herself and all others similarly situated, THOMAS W. FORSTER, THE CITY OF SUNRISE GENERAL EMPLOYEES' RETIREMENT PLAN, ADDITIONAL CLASS COUNSEL FOR THE PUTNAM SUBTRACK, LEAD CLASS COUNSEL FOR THE PUTNAM SUBTRACK, A PLAINTIFF, STEPHEN A. FRIEDMAN, OHIO TUITION TRUST AUTHORITY, LINDA PARKER, JACKIE WILLIAMS and LEAD CLASS PLAINTIFFS
Defendant - Appellee:	PUTNAM INVESTMENTS TRUST, PUTNAM INVESTMENT MANAGEMENT, LLC, JAMES PRUSKO, JUSTIN SCOTT, CARMEL PETERS, GEIRULV LODE, PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP, STEPHEN M. ORISTAGLIO, ROBERT F. LUCEY, IRENE M. ESTEVES, GORDON H. SILVER, LAWRENCE J. LASSER, PUTNAM INVESTMENT MANAGEMENT TRUST, PUTNAM, LLC, MARSH & MCLENNAN COMPANIES, INCORPORATED and FRANK PERFETUO
Defendant - None:	PUTNAM FIDUCIARY TRUST COMPANY, PRUDENTIAL SECURITIES, INCORPORATED, LINCOLN FINANCIAL ADVISORS CORPORATION, SCHIELD MANAGEMENT COMPANY, RTE ASSET MANAGEMENT, PRITCHARD CAPITAL PARTNERS, LLC, A.J. C. SMITH, PRUDENTIAL EQUITY GROUP, LLC, INTERNATIONAL BROTHERHOOD OF ELECTRICAL WORKERS LOCAL NO. 150 SUPPLEMENTAL TRUST, ALAN KATZ, Individually and on behalf of the Katz, Kutter, et al, BTS ASSET MANAGEMENT, PUTNAM AMERICAN GOVERNMENT INCOME FUND, PUTNAM ARIZONA TAX EXEMPT INCOME FUND, PUTNAM ASSET ALLOCATION: BALANCED PORTFOLIO, PUTNAM ASSET ALLOCATION: GROWTH PORTFOLIO, PUTNAM ASSET ALLOCATION CONSERVATIVE PORTFOLIO, PUTNAM CALIFORNIA TAX EXEMPT INCOME FUND, PUTNAM CAPITAL APPRECIATION FUND, PUTNAM CAPITAL OPPORTUNITIES FUND, PUTNAM CLASSIC EQUITY FUND, PUTNAM CONVERTIBLE INCOME-GROWTH TRUST, PUTNAM DIVERSIFIED INCOME TRUST, PUTNAM DISCOVERY GROWTH FUND, PUTNAM EQUITY INCOME FUND, PUTNAM EUROPE EQUITY FUND, PUTNAM FLORIDA TAX EXEMPT INCOME FUND, PUTNAM GLOBAL EQUITY FUND, PUTNAM GLOBAL INCOME TRUST, PUTNAM GLOBAL NATURAL RESOURCES FUND, PUTNAM GROWTH OPPORTUNITIES FUND, PUTNAM HEALTH SCIENCES TRUST, PUTNAM HIGH YIELD TRUST, PUTNAM INCOME FUND, PUTNAM INTERMEDIATE U.S. GOVERNMENT INCOME FUND, PUTNAM INTERNATIONAL CAPITAL OPPORTUNITIES FUND, PUTNAM INTERNATIONAL EQUITY FUND, PUTNAM INTERNATIONAL GROWTH AND INCOME FUND, PUTNAM INTERNATIONAL NEW OPPORTUNITIES FUND, PUTNAM INVESTORS FUND, PUTNAM MASSACHUSETTS TAX EXEMPT INCOME FUND, PUTNAM MICHIGAN TAX EXEMPT INCOME FUND, PUTNAM MID CAP VALUE FUND, PUTNAM MINNESOTA TAX EXEMPT INCOME FUND, PUTNAM MONEY MARKET FUND, PUTNAM MUNICIPAL INCOME FUND, PUTNAM NEW JERSEY TAX EXEMPT INCOME FUND, PUTNAM NEW OPPORTUNITIES FUND, PUTNAM NEW: VALUE FUND, PUTNAM NEW YORK TAX EXEMPT INCOME FUND, PUTNAM NEW YORK TAX EXEMPT OPPORTUNITIES FUND, PUTNAM OHIO TAX EXEMPT INCOME FUND, PUTNAM OTC & EMERGING GROWTH FUND, PUTNAM PENNSYLVANIA TAX EXEMPT INCOME FUND, PUTNAM RESEARCH FUND, PUTNAM SMALL CAP GROWTH FUND, PUTNAM SMALL CAP VALUE FUND, PUTNAM TAX EXEMPT MONEY MARKET FUND, PUTNAM TAX SMART EQUITY FUND, PUTNAM TAX-FREE HIGH YIELD FUND, PUTNAM TAX-FREE INSURED FUND, PUTNAM U.S. GOVERNMENT INCOME TRUST, PUTNAM UTILITIES GROWTH AND INCOME FUND, PUTNAM VISTA FUND, PUTNAM VOYAGER FUND, PUTNAM INVESTMENT FUNDS, OMID KAMSHAD, JOHN DOES 1-100, MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED, SPECTRUM FINANCIAL, INCORPORATED, BUFFALO CAPITAL CORPORATION, TRAUTMAN WASSERMAN & COMPANY, INCORPORATED, BANK OF AMERICA CORPORATION, KIRLIN SECURITIES, INCORPORATED, CANARY INVESTMENT MANAGEMENT, LLC, CANARY CAPITAL PARTNERS, LIMITED, CANARY CAPITAL PARTNERS, LLC, EDWARD J. STERN, W. NICHOLAS THORNDIKE, W. THOMAS STEPHENS, GEORGE PUTNAM, III, ROBERT E. PATTERSON, JOHN H. MULLIN, III, ELIZABETH T. KEENAN, PAUL L. JOSKOW, RONALD J. JACKSON, JOHN A. HILL, CHARLES B. CURTIS, JAMESON A. BAXTER, PUTNAM NEW YORK TAX EXEMPT MONEY MARKET FUND, PUTNAM CALIFORNIA TAX EXEMPT MONEY MARKET FUND, THE PUTNAM FUND FOR GROWTH AND INCOME, THE GEORGE PUTNAM FUND OF BOSTON, PUTNAM BALANCED RETIREMENT FUND, PUTNAM ASIA PACIFIC GROWTH FUND, PUTNAM TAX EXEMPT FUND, PUTNAM STRATEGIC INCOME FUND, PUTNAM PREFERRED INCOME FUND, PUTNAM TAX SMART FUNDS TRUST, PUTNAM ASSET ALLOCATION FUND, PUTNAM TAX-FREE INCOME TRUST, PUTNAM FUNDS TRUST, IAN S. FERGUSON and WILLIAM H. WOOLVERTON
Movant - None:	JILL LYNN BAILIN, PUTNAM FUNDS, JOANNE S. BASEMAN, GEIL CRAVEN, JOHN K. CLEMENT, SETH MARKS, DINA ROZENBAUM and DIANE HUTTO
Case Number:	09-1792
Filed:	July 15, 2009
Court:	U.S. Court of Appeals, Fourth Circuit
Nature of Suit:	Securities, Commodities, Exchange

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Search for this case: Joseph Shanis v. Putnam Investments Trust
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Plaintiff - appellant: JOSEPH SHANIS
Represented By:	Lawrence Deutsch
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Plaintiff - appellant: LEAD PLAINTIFF OHIO TUITION TRUST AUTHORITY
Represented By:	Stanley Morris Chesley
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Plaintiff - -: DIANE SAUNDERS, on behalf of herself and all others similarly situated
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Plaintiff - -: THOMAS W. FORSTER
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Plaintiff - -: THE CITY OF SUNRISE GENERAL EMPLOYEES' RETIREMENT PLAN
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Plaintiff - -: ADDITIONAL CLASS COUNSEL FOR THE PUTNAM SUBTRACK
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Plaintiff - -: LEAD CLASS COUNSEL FOR THE PUTNAM SUBTRACK
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Plaintiff - -: A PLAINTIFF
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Plaintiff - -: STEPHEN A. FRIEDMAN
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Plaintiff - -: OHIO TUITION TRUST AUTHORITY
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Plaintiff - -: LINDA PARKER
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Plaintiff - -: JACKIE WILLIAMS
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Plaintiff - -: LEAD CLASS PLAINTIFFS
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Defendant - appellee: PUTNAM INVESTMENTS TRUST
Represented By:	James R. Carroll
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Defendant - appellee: PUTNAM INVESTMENT MANAGEMENT, LLC
Represented By:	James R. Carroll
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Defendant - appellee: JAMES PRUSKO
Represented By:	Lawrence S. Bader
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Defendant - appellee: JUSTIN SCOTT
Represented By:	Jessica C. Sergi
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Defendant - appellee: CARMEL PETERS
Represented By:	Peter Michael Casey
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Defendant - appellee: GEIRULV LODE
Represented By:	Michael Thomas Gass
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Defendant - appellee: PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Represented By:	James R. Carroll
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Defendant - appellee: STEPHEN M. ORISTAGLIO
Represented By:	James R. Carroll
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Defendant - appellee: ROBERT F. LUCEY
Represented By:	James R. Carroll
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Defendant - appellee: IRENE M. ESTEVES
Represented By:	James R. Carroll
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Defendant - appellee: GORDON H. SILVER
Represented By:	James R. Carroll
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Defendant - appellee: LAWRENCE J. LASSER
Represented By:	Edward Thomas McDermott
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Defendant - appellee: PUTNAM INVESTMENT MANAGEMENT TRUST
Represented By:	James R. Carroll
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Defendant - appellee: PUTNAM, LLC
Represented By:	James R. Carroll
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Defendant - appellee: MARSH & MCLENNAN COMPANIES, INCORPORATED
Represented By:	Stephen W. Greiner
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Defendant - appellee: FRANK PERFETUO
Represented By:	Ann Hetherwick Cahill
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Defendant - none: PUTNAM FIDUCIARY TRUST COMPANY
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Defendant - none: PRUDENTIAL SECURITIES, INCORPORATED
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Defendant - none: LINCOLN FINANCIAL ADVISORS CORPORATION
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Defendant - none: SCHIELD MANAGEMENT COMPANY
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Defendant - none: RTE ASSET MANAGEMENT
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Defendant - none: PRITCHARD CAPITAL PARTNERS, LLC
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Defendant - none: A.J. C. SMITH
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Defendant - none: PRUDENTIAL EQUITY GROUP, LLC
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Defendant - none: INTERNATIONAL BROTHERHOOD OF ELECTRICAL WORKERS LOCAL NO. 150 SUPPLEMENTAL TRUST
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Defendant - none: ALAN KATZ, Individually and on behalf of the Katz, Kutter, et al
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Defendant - none: BTS ASSET MANAGEMENT
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Defendant - none: PUTNAM AMERICAN GOVERNMENT INCOME FUND
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Defendant - none: PUTNAM ARIZONA TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM ASSET ALLOCATION: BALANCED PORTFOLIO
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Defendant - none: PUTNAM ASSET ALLOCATION: GROWTH PORTFOLIO
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Defendant - none: PUTNAM ASSET ALLOCATION CONSERVATIVE PORTFOLIO
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Defendant - none: PUTNAM CALIFORNIA TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM CAPITAL APPRECIATION FUND
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Defendant - none: PUTNAM CAPITAL OPPORTUNITIES FUND
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Defendant - none: PUTNAM CLASSIC EQUITY FUND
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Defendant - none: PUTNAM CONVERTIBLE INCOME-GROWTH TRUST
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Defendant - none: PUTNAM DIVERSIFIED INCOME TRUST
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Defendant - none: PUTNAM DISCOVERY GROWTH FUND
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Defendant - none: PUTNAM EQUITY INCOME FUND
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Defendant - none: PUTNAM EUROPE EQUITY FUND
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Defendant - none: PUTNAM FLORIDA TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM GLOBAL EQUITY FUND
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Defendant - none: PUTNAM GLOBAL INCOME TRUST
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Defendant - none: PUTNAM GLOBAL NATURAL RESOURCES FUND
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Defendant - none: PUTNAM GROWTH OPPORTUNITIES FUND
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Defendant - none: PUTNAM HEALTH SCIENCES TRUST
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Defendant - none: PUTNAM HIGH YIELD TRUST
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Defendant - none: PUTNAM INCOME FUND
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Defendant - none: PUTNAM INTERMEDIATE U.S. GOVERNMENT INCOME FUND
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Defendant - none: PUTNAM INTERNATIONAL CAPITAL OPPORTUNITIES FUND
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Defendant - none: PUTNAM INTERNATIONAL EQUITY FUND
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Defendant - none: PUTNAM INTERNATIONAL GROWTH AND INCOME FUND
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Defendant - none: PUTNAM INTERNATIONAL NEW OPPORTUNITIES FUND
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Defendant - none: PUTNAM INVESTORS FUND
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Defendant - none: PUTNAM MASSACHUSETTS TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM MICHIGAN TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM MID CAP VALUE FUND
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Defendant - none: PUTNAM MINNESOTA TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM MONEY MARKET FUND
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Defendant - none: PUTNAM MUNICIPAL INCOME FUND
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Defendant - none: PUTNAM NEW JERSEY TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM NEW OPPORTUNITIES FUND
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Defendant - none: PUTNAM NEW: VALUE FUND
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Defendant - none: PUTNAM NEW YORK TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM NEW YORK TAX EXEMPT OPPORTUNITIES FUND
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Defendant - none: PUTNAM OHIO TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM OTC & EMERGING GROWTH FUND
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Defendant - none: PUTNAM PENNSYLVANIA TAX EXEMPT INCOME FUND
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Defendant - none: PUTNAM RESEARCH FUND
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Defendant - none: PUTNAM SMALL CAP GROWTH FUND
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Defendant - none: PUTNAM SMALL CAP VALUE FUND
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Defendant - none: PUTNAM TAX EXEMPT MONEY MARKET FUND
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Defendant - none: PUTNAM TAX SMART EQUITY FUND
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Defendant - none: PUTNAM TAX-FREE HIGH YIELD FUND
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Defendant - none: PUTNAM TAX-FREE INSURED FUND
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Defendant - none: PUTNAM U.S. GOVERNMENT INCOME TRUST
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Defendant - none: PUTNAM UTILITIES GROWTH AND INCOME FUND
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Defendant - none: PUTNAM VISTA FUND
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Defendant - none: PUTNAM VOYAGER FUND
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Defendant - none: PUTNAM INVESTMENT FUNDS
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Defendant - none: OMID KAMSHAD
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Defendant - none: JOHN DOES 1-100
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Defendant - none: MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED
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Defendant - none: SPECTRUM FINANCIAL, INCORPORATED
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Defendant - none: BUFFALO CAPITAL CORPORATION
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Defendant - none: TRAUTMAN WASSERMAN & COMPANY, INCORPORATED
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Defendant - none: BANK OF AMERICA CORPORATION
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Defendant - none: KIRLIN SECURITIES, INCORPORATED
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Defendant - none: CANARY INVESTMENT MANAGEMENT, LLC
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Defendant - none: CANARY CAPITAL PARTNERS, LIMITED
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Defendant - none: CANARY CAPITAL PARTNERS, LLC
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Defendant - none: EDWARD J. STERN
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Defendant - none: W. NICHOLAS THORNDIKE
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Defendant - none: W. THOMAS STEPHENS
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Defendant - none: GEORGE PUTNAM, III
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Defendant - none: ROBERT E. PATTERSON
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Defendant - none: JOHN H. MULLIN, III
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Defendant - none: ELIZABETH T. KEENAN
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Defendant - none: PAUL L. JOSKOW
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Defendant - none: RONALD J. JACKSON
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Defendant - none: JOHN A. HILL
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Defendant - none: CHARLES B. CURTIS
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Defendant - none: JAMESON A. BAXTER
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Defendant - none: PUTNAM NEW YORK TAX EXEMPT MONEY MARKET FUND
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Defendant - none: PUTNAM CALIFORNIA TAX EXEMPT MONEY MARKET FUND
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Defendant - none: THE PUTNAM FUND FOR GROWTH AND INCOME
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Defendant - none: THE GEORGE PUTNAM FUND OF BOSTON
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Defendant - none: PUTNAM BALANCED RETIREMENT FUND
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Defendant - none: PUTNAM ASIA PACIFIC GROWTH FUND
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Defendant - none: PUTNAM TAX EXEMPT FUND
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Defendant - none: PUTNAM STRATEGIC INCOME FUND
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Defendant - none: PUTNAM PREFERRED INCOME FUND
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Defendant - none: PUTNAM TAX SMART FUNDS TRUST
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Defendant - none: PUTNAM ASSET ALLOCATION FUND
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Defendant - none: PUTNAM TAX-FREE INCOME TRUST
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Defendant - none: PUTNAM FUNDS TRUST
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Defendant - none: IAN S. FERGUSON
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Defendant - none: WILLIAM H. WOOLVERTON
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Movant - none: JILL LYNN BAILIN
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Movant - none: PUTNAM FUNDS
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Movant - none: JOANNE S. BASEMAN
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Movant - none: GEIL CRAVEN
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Movant - none: JOHN K. CLEMENT
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Movant - none: SETH MARKS
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Movant - none: DINA ROZENBAUM
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Movant - none: DIANE HUTTO
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