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Lead Plaintiff Filings
Plaintiffs RH Capital Associates LLC and Pacific Investment Management Company
LLC (“PIMCO”) have been appointed by the Court to serve as Lead
Plaintiffs in the Refco Securities Litigation. Click on
any of the below links to download a particular filing in
Adobe Acrobat format. If you do not have Adobe Acrobat on
your system and wish to install it, please click
here.
Complaints
Memoranda of Law
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9/22/11 - Notice of Lead Plaintiffs’ Motion for Approval of Payment of Eligible Claims-In-Process, Late Adjusted Claims, and Late Submitted Claims
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9/22/11 - Lead Plaintiffs’ Memorandum of Law in Support of Motion for Approval of Payment of Eligible Claims-In-Process, Late Adjusted Claims, and Late Submitted Claims
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9/22/11 - Declaration of Stephen J. Cirami In Support of Lead Plaintiffs’ Motion for Approval of Payment of Eligible Claims-In-Process, Late Adjusted Claims, and Late Submitted Claims
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3/3/11 - Lead Plaintiffs’ Memorandum of Law in Further Support of (A) Lead Plaintiffs’ Motion for Final Approval of Settlements with Grant Thornton LLP and the Settling Officer Defendants, Authorization of Application of the Previously Approved Plan of Allocation to the Additional Settlements and Final Certification of a Class for Settlement Purposes and (B) Lead Counsel’s Motion for an Award of Attorneys’ Fees and Reimbursement Of Expenses
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2/4/11 - Notice of (A) Lead Plaintiffs’ Motion for Final Approval of Settlements with Grant Thornton LLP and the Settling Officer Defendants, Authorization of Application of the Previously Approved Plan of Allocation to the Additional Settlements and Final Certification of a Class for Settlement Purposes, and (B) Lead Counsel’s Motion for an Award of Attorneys’ Fees and Reimbursement of Expenses
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2/4/11 - Lead Plaintiffs’ Memorandum of Law in Support of Motion for Final Approval of Settlements with Grant Thornton LLP and the Settling Officer Defendants, Authorization of Application of the Previously Approved Plan of Allocation to the Additional Settlements and Final Certification of a Class for Settlement Purposes
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2/4/11 - Lead Counsel’s Memorandum of Law in Support of Their Motion for an Award of Attorneys’ Fees and Reimbursement of Expenses
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2/4/11 - Joint Declaration of Salvatore J. Graziano and Megan McIntyre in Support of (A) Lead Plaintiffs’ Motion for Final Approval of Settlements with Grant Thornton LLP and the Settling Officer Defendants, Authorization of Application of the Previously Approved Plan of Allocation to the Additional Settlements and Final Certification of a Class for Settlement Purposes, and (B) Lead Counsel’s Motion for an Award of Attorneys’ Fees and Reimbursement of Expenses.
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10/20/10 - Lead Plaintiffs’ Reply Memorandum of Law in Further Support of (A) Lead Plaintiffs’
Motion for Final Approval of Settlements with the THL and Audit Committee Defendants and with the Underwriter
Defendants, Final Approval of Plan of Allocation of Settlement Proceeds and Final Certification of a Class for
Settlement Purposes and (B) Lead Counsel’s Motion for an Award of Attorneys’ Fees and Reimbursement Of Expenses
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10/20/10 - Reply Declaration of James J. Sabella
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10/20/10 - Affidavit of Stephen J. Cirami Regarding (A) Mailing of the Notices and
Proof of Claim and Release Concerning Settlements with the THL and Audit Committee Defendants, the
Settling Underwriter Defendants and Sandler O’Neill & Partners L.P.; (B) Publication of Summary Notices
Concerning the Settlements with the THL and Audit Committee Defendants, the Settling Underwriter
Defendants and Sandler O’Neill & Partners L.P.; and (C) Report on Requests for Exclusion
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10/18/10 - Lead Plaintiffs' Notice of Motion for (I) Preliminary Approval of Settlement
with Grant Thornton LLP, (II) Preliminary Approval of Settlement with Joseph J. Murphy, Dennis A.
Klejna and William M. Sexton, (III) Preliminary Certification of Class as Against These Settling
Defendants for Purposes of Settlement, and (IV) Approval of Notice to the Class
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10/18/10 - Lead Plaintiffs' Memorandum of Law in Support of Motion for (I) Preliminary
Approval of Settlement with Grant Thornton LLP, (II) Preliminary Approval of Settlement with Joseph J.
Murphy, Dennis A. Klejna and William M. Sexton, (III) Preliminary Certification of Class as Against These
Settling Defendants for Purposes of Settlement, and (IV) Approval of Notice to the Class
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10/18/10 - Declaration of Megan D. McIntyre in Support of Lead Plaintiffs’ Motion for
(I) Preliminary Approval of Settlement with Grant Thornton LLP, (II) Preliminary Approval of
Settlement with Joseph J. Murphy, Dennis A. Klejna and William M. Sexton, (III) Preliminary
Certification of Class as Against These Settling Defendants for Purposes of Settlement, and (IV)
Approval of Notice to the Class
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09/22/10 - Notice of (A) Lead Plaintiffs’ Motion for Final Approval of Settlements with the THL
and Audit Committee Defendants and with the Underwriter Defendants, Final Approval of Plan of Allocation of
Settlement Proceeds and Final Certification of a Class For Settlement Purposes, and (B) Lead Counsel’s Motion
for an Award of Attorneys’ Fees and Reimbursement of Expenses
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09/22/10 - Lead Plaintiffs’ Memorandum of Law in Support of Motion For Final Approval of Settlements With
The THL and Audit Committee Defendants and With The Underwriter Defendants,
Final Approval of Plan of Allocation of Settlement Proceeds and Final Certification
of a Class For Settlement Purposes
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09/22/10 - Lead Counsel’s Memorandum of Law in Support of Their Motion for an Award of Attorneys’
Fees and Reimbursement of Expenses
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09/22/10 - Joint Declaration of Salvatore J. Graziano and Megan McIntyre in Support of (A) Lead Plaintiffs’ Motion for Final Approval of Settlements with the THL and Audit Committee Defendants and with the Underwriter Defendants, Final Approval of Plan of Allocation of Settlement Proceeds and Final Certification of a Class For Settlement Purposes, and (B) Lead Counsel’s Motion for an Award of Attorneys’ Fees and Reimbursement of Expenses
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04/20/10 - Declaration of Salvatore J. Graziano in Support of Motion for (I) Preliminary Approval of Settlement with
Underwriter Defendants, (II) Preliminary Certification of Class for Purposes of Settlement and (III) Approval of Notice to the Class
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04/01/09 - Lead Plaintiffs' Memorandum of Law
in Law In Support of Motion for Partial Summary Judgment
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04/01/09 - Lead Plaintiffs' Statement Pursuant to Local Rule
56.1
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11/17/08 - Lead Plaintiffs' Memorandum of Law In Opposition To The Motion By Defendants Credit
Suisse Securities (USA) LLC And Goldman Sachs & Co. For Reconsideration Or Vacatur Of The Court's
Order Granting Preliminary Approval Of The Settlement With Defendant Sandler O'Neill & Partners, L.P.
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10/27/08 -
Declaration of James J. Sabella in Support of Motion for (I) Preliminary Approval
of Settlement with Defendant Sandler O'Neill & Partners, L.P. and (II) Preliminary
Certification of Class for Purposes of Settlement
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10/27/08 - Lead Plaintiffs' Memorandum of Law in Support of Motion for (I) Preliminary Approval
of Settlement with Defendant Sandler O'Neill & Partners, L.P. and (II) Preliminary
Certification of Class for Purposes of Settlement
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10/27/08 - Lead Plaintiffs' Notice of Motion for (I) Preliminary Approval
of Settlement with Defendant Sandler O'Neill & Partners, L.P. and (II) Preliminary
Certification of Class for Purposes of Settlement
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01/31/08
- Lead Plaintiffs Memorandum of Law in Opposition to the Motion to Dismiss of Joseph P. Collins and Mayer Brown LLP
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12/7/07
- Stipulation and Agreement of Settlement Between Lead Plaintiffs and Defendant Dennis A.
Klejna
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12/7/07
- Lead Plaintiffs' Notice of Motion for (I) Preliminary Approval of
Partial Settlement with Defendant Dennis A. Klejna, (II) Preliminary Certification of Class for
Purposes of Settlement, (III) Preliminary Approval of Form and Manner of Notice, and (IV) Scheduling A
Final Approval Hearing
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12/7/07
- Lead Plaintiffs' Memorandum of Law in Support of Motion for (I) Preliminary Approval of Partial
Settlement with Defendant Dennis A. Klejna, (II) Preliminary Certification of Class for
Purposes of Settlement, (III) Preliminary Approval of Form and Manner of Notice, and (IV) Scheduling A
Final Approval Hearing
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05/24/07
- Lead Plaintiffs' Memorandum of Law in Opposition to Defendant Silverman's Motion For
Partial Reconsideration
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02/22/07
- Lead Plaintiffs' Notice of Motion for (I) Preliminary
Approval of Partial Settlement with Defendant BAWAG,
(II) Preliminary Certification of Class for Purposes of Settlement, (III) Preliminary
Approval of Form and Manner of Notice, and
(IV) Scheduling of Final Approval Hearing
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01/05/07
- Lead Plaintiffs’ Reply to the Underwriter Defendants’ and Grant Thornton LLP’s Objections to
Amended Settlement with BAWAG
Letters
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08/12/2008 - Lead Plaintiffs' Letter to Court Regarding
Partial Settlement with Sandler O'Neill & Partners, L.P.
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12/7/07 - Letter to Honorable Gerald E. Lynch
Victim Petitions To Attorney General For Civil Forfeiture
- Petition To The Attorney General For Remission Or Mitigation Of Criminal Forfeiture Or, Civil Forfeiture Pursuant To 18 U.S.C. §981 (e)(6) By Victims Of The Underlying Or Related Offense
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04/12/07 -
Petition To The Attorney General For Remission Or Mitigation Of Criminal Forfeiture Or, Civil Forfeiture Pursuant To 18 U.S.C. §981 (e)(6) By Victims Of The Underlying Or Related Offense
Bankruptcy Proofs of Claim
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