Class Action Complaint

Parties

Court Orders

Lead Plaintiff Filings

Pleadings

Settlements

Class Notices

Case Background

Key Developments

Contact Class Counsel

HOME

Bennett Shell-Entity Defendants

• Refco Group Holdings, Inc. (“Refco Holdings”)
• The Phillip R. Bennett Three Year Annuity Trust (“Bennett Trust”)

Refco-Affiliated Defendants

• Refco Managed Futures LLC (“Refco Futures”)
• Defendant Westminster-Refco Management LLC (“Westminster-Refco”)
• Lind-Waldock Securities LLC (“Lind-Waldock”)

Officer Defendants

• Phillip R. Bennett (“Bennett”) - former President, Chief Executive Officer (“CEO”) and Chairman of Refco Group
• Gerald M. Sherer (“Sherer”) - former Executive Vice President and Chief Financial Officer
• William M. Sexton (“Sexton”) - former Executive Vice President and Chief Operating Officer of Refco Group
• Santo C. Maggio (“Maggio”) - former Executive Vice President of Refco Group; former President and Chief Executive Officer of Refco Securities, LLC, the Company’s NASD broker-dealer subsidiary; former President of Refco Capital Markets, Ltd.
• Joseph J. Murphy (“Murphy”) - former Executive Vice President of Refco Group responsible for global marketing; former President of various Refco subsidiaries, including Refco Futures and Westminster Refco
• Phillip Silverman (“Silverman”) - former Secretary of Refco; held numerous high-level executive positions within Refco and its subsidiaries, including Controller of Refco Group; former Secretary of Refco Holdings and of numerous Refco subsidiaries
• Dennis A. Klejna (“Klejna”) - former Executive Vice President and General Counsel of Refco Group
• Tone N. Grant ("Grant") - CEO of Refco Group prior to September 1998 and owner of 50% of Refco Holdings prior to 2004

Audit Committee Defendants

• Ronald L. O’Kelley (“O’Kelley”) - former Member of Audit Committee of Refco’s Board of Directors
• Leo R. Breitman (“Breitman”) - former Member of Audit Committee of Refco’s Board of Directors
• Nathan Gantcher (“Gantcher”) - former Member of Audit Committee of Refco’s Board of Directors

Defendants Affiliated with Thomas H. Lee Partners (“THL Defendants”)

• Thomas H. Lee Partners, L.P. (“Thomas H. Lee Partners”)
• THL Refco Acquisition Partners
• THL Refco Acquisition Partners II
• THL Acquisition Partners III
• Thomas H. Lee Equity Fund V, L.P.
• Thomas H. Lee Parallel Fund V, L.P.
• Thomas H. Lee Equity (Cayman) Fund V, L.P
• THL Equity Advisors V, LLC
• Thomas H. Lee Investors Limited Partnership
• 1997 Thomas H. Lee Nominee Trust
• Thomas H. Lee (“Lee”) - former Member of Refco’s Board of Directors
• David V. Harkins (“Harkins”) - former Member of Refco’s Board of Directors
• Scott L. Jaeckel (“Jaeckel”) - former Member of Refco’s Board of Directors
• Scott A. Schoen (“Schoen”) - former Member of Refco’s Board of Directors

Auditor Defendant

• Grant Thornton LLP (“Grant Thornton”) – Refco’s former outside auditing firm

Stock Underwriter Defendants

• Credit Suisse Securities (USA) LLC - formerly known as Credit Suisse First Boston LLC (“Credit Suisse”)
• Banc of America Securities LLC (“BAS”)
• Deutsche Bank Securities Inc. (“Deutsche Bank”)
• Goldman, Sachs & Co. (“Goldman Sachs”)
• Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”)
• J.P. Morgan Securities Inc. (“J.P. Morgan”)
• Sandler O’Neill & Partners, L.P. (“Sandler O’Neill”)
• HSBC Securities (USA) Inc. (“HSBC”)
• William Blair & Company, L.L.C. (“William Blair”)
• Harris Nesbitt Corp. (“Harris Nesbitt”)
• CMG Institutional Trading LLC (“CMG”)
• Samuel A. Ramirez & Company, Inc. (“Ramirez & Co.”)
• Muriel Siebert & Co. Inc. (“Seibert & Co.”)
• The Williams Capital Group, L.P. (“Williams Capital”)
• Utendahl Capital Partners, L.P. (“Utendahl”)

Additional Defendants included in Lead Plaintiffs' Second Amended Complaint filed on December 3, 2007

• Mayer Brown LLP ("Mayer Brown") - Refco's outside legal counsel (originally named as a defendant in a separate complaint filed by Lead Plaintiffs on October 1, 2007)
• Joseph P. Collins ("Collins") - the Mayer Brown partner in charge of the Refco account (originally named as a defendant in a separate complaint filed by Lead Plaintiffs on October 1, 2007)
• Robert C. Trosten ("Trosten") - former Executive Vice President and CFO of Refco Group (Trosten was released from the case pursuant to Judge Lynch's April 30, 2007 Opinion--however, based on new information, Lead Plaintiffs once again named Trosten as a defendant in the Second Amended Complaint)