u.s. district court southern district of new york (foley...

US District Court Civil Docket as of 07/02/2012 Retrieved from the court on July 20, 2012

U.S. District Court Southern District of New York (Foley Square)

CIVIL DOCKET FOR CASE #: 1:11-cv-05831-AJN

Date Filed: 08/19/2011 Jury Demand: Plaintiff Nature of Suit: 890 Other Statutory Actions Jurisdiction: Federal Question

represented by David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 631-367-7100 Fax: 631-367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Brett D Stecker Harwood Feffer LLP 488 Madison Avenue, 8th Floor New York, NY 10022 (610)-225-2677 Fax: (610) 255-2678 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Jeffrey J. Ciarlanto The Weiser Law Firm, P.C. 22 Cassatt Avenue First Floor Berwyn, PA 19312 (610) 225-2677 Fax: (610) 408-8062 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Athale v. Sinotech Energy Limited et al Assigned to: Judge Alison J. Nathan Member case: (View Member Case) Related Cases: 1:11-cv-05935-AJN

1:11-cv-06905-AJN Cause: 15:77 Securities Fraud

Lead Plaintiff

Zech Capital LLC

Robert B. Weiser The Weiser Law Firm, P.C. 22 Cassatt Avenue First Floor Berwyn, PA 19312 610-225-2677 Fax: 610-408-8062 PRO HAC VICE ATTORNEY TO BE NOTICED

Lead Plaintiff

Zech Capital LLC represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Brett D Stecker (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Christopher Michael Barrett Robbins Geller Rudman & Dowd LLP 58 South Services Road, Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

Jeffrey J. Ciarlanto (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Robert B. Weiser (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff

Bhushan Athale Individually and on behalf of all others similarly situated

represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Laurence Matthew Rosen

The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor New York,, NY 10016 (212)-686-1060 Fax: (212)-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED

Phillip C. Kim The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

Jack Crayder represented by Jason Mathew Leviton Individually and on behalf of all others

Berman DeValerio (MA)

similarly situated

One Liberty Square, 8th Floor Boston, MA 02109 (617) 542-8300 Fax: (617) 542-1194 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Jeffrey Craig Block Block & Leviton LLP 155 Federal Street, Suite 1303 New York, NY 10013 (617)-398-5600 Fax: (617)-507-6020 Email: [email protected] ATTORNEY TO BE NOTICED

Kenneth Mark Rehns Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY 10005 (212) 838-7797 Fax: (212) 838-7745 Email: [email protected] ATTORNEY TO BE NOTICED

Leslie F. Stern Willkie, Farr & Gallagher, Esqs. 1 Citicorp Center, 153 East 53rd Street New York, NY 10022 212-935-8000 ATTORNEY TO BE NOTICED

Steven Jeffrey Toll Cohen Milstein Sellers & Toll PLLC (DC) 1100 New York Avenue, N.W. Suite 500, West Tower Washington, DC 20005 (202) 408-4600 Fax: (202) 408-4699 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED


John Young represented by Adriene O. Bell Individually and on behalf of all others

Kessler Topaz Meltzer & Check, LLP

similarly situated

(PA) 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Fax: (610) 667-7056 PRO HAC VICE ATTORNEY TO BE NOTICED

D. Seamus Kaskela Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Fax: (610) 667-7056 Email: [email protected] ATTORNEY TO BE NOTICED

David M. Promisloff Kessler Topaz Meltzer & Check, LLP 280 King of Prussia Road Radnor, PA 19087 (610) 667 7706 Fax: (610) 667 7056 ATTORNEY TO BE NOTICED

Glenn Harlan Spiegel Hartman & Craven LLP

460 Park Avenue New York, NY 10022-1987 (212) 753-7500 ATTORNEY TO BE NOTICED

Jeffrey Michael Norton Newman Ferrara LLP 1250 Broadway New York, NY 10001 (212) 619-5400 Fax: (212) 619-3090 Email: [email protected] ATTORNEY TO BE NOTICED


Roger Gustafson represented by Fei-Lu Qian on behalf of themselves and all others

Pomerantz Haudek Block Grossman &

similarly situated

Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

Jeremy Alan Lieberman Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

Lionel Z. Glancy Glancy & Binkow Goldberg LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 (310) 201-9150 Fax: (310) 201-9160 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Marc Ian Gross Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor

New York, NY 10017 (212)661-1100 Fax: (212) 661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

Michael Goldberg Glancy Binkow & Goldberg, LLP (CA) 1801 Avenue of the Stars Suite 311 Los Angeles, CA 90067 (310)-201-9150 Fax: (310)-201-9160 PRO HAC VICE ATTORNEY TO BE NOTICED

Patrick Vincent Dahlstrom Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017 (212)661-1100 Fax: (212)661-8665 ATTORNEY TO BE NOTICED


Germmaine Hein-Gustafson represented by Fei-Lu Qian on behalf of themselves and all others

(See above for address)

similarly situated

ATTORNEY TO BE NOTICED

Jeremy Alan Lieberman (See above for address) ATTORNEY TO BE NOTICED

Lionel Z. Glancy (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Marc Ian Gross (See above for address) ATTORNEY TO BE NOTICED

Michael Goldberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Patrick Vincent Dahlstrom

(See above for address) ATTORNEY TO BE NOTICED

represented by Antonio Vozzolo Faruqi & Faruqi, LLP 369 Lexington Avenue 10th Floor New York, NY 10017 (212) 983-9330 Fax: (212) 983-9331 Email: [email protected] ATTORNEY TO BE NOTICED

represented by Daniel Patrick Chiplock Lieff Cabraser Heimann & Bernstein, LLP 250 Hudson Street 8th Floor

V.

Movant

Moataz Mohamed Khodir

Movant

SinoTech Investor Group

New York, NY 10013-1413 (212)-355-9500 Fax: (212)-355-9592 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Terde Inversiones SICAV, S.A.

Movant

Leonard Steinborn

represented by Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Geoffrey Coyle Jarvis Grant & Eisenhofer, PA (DE) 123 Justison Street

Movant

World Policy SICAV, S.A.

Wilmington, DE 19801 (302-622-7040 Fax: (302)-622-7100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Michael J. Pilewski represented by Geoffrey Coyle Jarvis (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Sinotech Energy Limited represented by Angie Young Kim Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA 94304 (650) 493-9300 Fax: (650) 493-6811 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Michael Stephen Winograd Wachtell, Lipton, Rosen & Katz 51 West 52nd Street New York, NY 10019 212-403-1140 Fax: 212-403-2140 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Steven Mark Schatz Wilson Sonsini Goodrich & Rosati (CA) 650 Page Mill Road Palo Alto, CA 94304 (650) 493-9300 Fax: (650) 565-5100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Bret Ladine Wilson Sonsini Goodrich & Rosati (CA)

650 Page Mill Road Palo Alto, CA 94304 (650) 493-9300 Fax: (550) 493-6811 PRO HAC VICE ATTORNEY TO BE NOTICED

Kelley M. Kinney Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, CA 94304 (650) 849-3075 Fax: (650) 565-5100 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Rodney G. Strickland , Jr. Wilson Sonsini Goodrich & Rosati, P.C. 650 Page Mill Road Palo Alto, CA 94304 (650)-320-4857 Fax: (650)-565-5100 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Gouqiang Xin

Defendant

Boxun Zhang

Defendant

Qingzeng Liu

Defendant

Xiaoxuan Bi

Defendant

Heqing Yao

Defendant

Jing Liu

represented by Mark Adam Kirsch Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 (212) 351-5391 Fax: (212) 351-5328 Email: [email protected] ATTORNEY TO BE NOTICED

represented by Mark Adam Kirsch (See above for address) ATTORNEY TO BE NOTICED


Defendant

UBS AG

Defendant

Citigroup Global Markets, Inc.

Defendant

Lazard Capital Markets LLC

V.

Consolidated Defendant

Guoqiang Xin


Donald J. Puglisi


UBS Securities LLC


Citigroup Global Markets Inc.


Grant Thornton now known as


JBPB & CO.


Grant Thornton HK now known as JBPB & CO.


Ernst & Young Hua Ming

Date Filed # Docket Text

08/02/2011 1 COMPLAINT against Xiaoxuan Bi, Citigroup Global Markets, Inc., Lazard Capital Markets LLC, Jing Liu, Qingzeng Liu, Sinotech Energy Limited, UBS AG, Gouqiang Xin, Heqing Yao, Boxun Zhang. (Filing Fee $ 350.00, Receipt Number 465401014627)Document filed by Bhushan Athale.(rdz) (ama). (Entered: 08/24/2011)

08/19/2011 SUMMONS ISSUED as to Xiaoxuan Bi, Citigroup Global Markets, Inc., Lazard Capital Markets LLC, Jing Liu, Qingzeng Liu, Sinotech Energy Limited, UBS AG, Gouqiang Xin, Heqing Yao, Boxun Zhang. (rdz) (Entered: 08/24/2011)

08/19/2011 Magistrate Judge James L. Cott is so designated. (rdz) (Entered: 08/24/2011)

08/19/2011 Case Designated ECF. (rdz) (Entered: 08/24/2011)

08/30/2011 2 INITIAL PRETRIAL CONFERENCE: Initial Conference set for 12/14/2011 at 09:30 AM in Courtroom 21D at the United States District Courthouse, 500 Pearl Street, New York, NY 10007 before Judge George B. Daniels. (Signed by Judge George B. Daniels on 8/29/2011) (mro) (Entered: 08/30/2011)

09/08/2011 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Laurence Matthew Rosen,Phillip C. Kim for noncompliance with Section 14.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint, to: [email protected] . (ama) (Entered: 09/08/2011)

10/18/2011 3 MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s)., MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . Document filed by Moataz Mohamed Khodir. (Attachments: # 1 Text of Proposed Order)(Vozzolo, Antonio) (Entered: 10/18/2011)

10/18/2011 4 MEMORANDUM OF LAW in Support re: 3 MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905

10/18/2011

MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL .. Document filed by Moataz Mohamed Khodir. (Vozzolo, Antonio) (Entered: 10/18/2011)

DECLARATION of ANTONIO VOZZOLO in Support re: 3 MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL .. Document filed by Moataz Mohamed Khodir. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Vozzolo, Antonio) (Entered: 10/18/2011)

6 CERTIFICATE OF SERVICE. Document filed by Moataz Mohamed Khodir.

10/18/2011

5

(Vozzolo, Antonio) (Entered: 10/18/2011)

10/18/2011 7 MOTION to Appoint Counsel., MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s)., MOTION to Consolidate Cases 11-cv-5935, 11-cv-6179, 11-cv-6905 into 11-cv-5831 . Document filed by Zech Capital LLC. (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 10/18/2011)

10/18/2011 8

MEMORANDUM OF LAW in Support re: 7 MOTION to Appoint Counsel. MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5935, 11-cv-6179, 11-cv-6905 into 11-cv-5831 . MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s).. Document filed by Zech Capital LLC. (Rosenfeld, David) (Entered: 10/18/2011)

10/18/2011 9 DECLARATION of David A. Rosenfeld in Support re: 7 MOTION to Appoint Counsel. MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5935, 11-cv-6179, 11-cv-6905 into 11-cv-5831 . MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s).. Document filed by Zech Capital LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 10/18/2011)

10/18/2011 10 MOTION to Consolidate Cases 1:11-cv-5831; 1:11-cv-5935; 1:11-cv-6179; 1:11-cv- 6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL . Document filed by SinoTech Investor Group.(Chiplock, Daniel) (Entered: 10/18/2011)

10/18/2011 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 1:11-cv-5831; 1:11-cv-5935; 1:11-cv-6179; 1:11-cv-6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL .. Document filed by SinoTech Investor Group. (Chiplock, Daniel) (Entered: 10/18/2011)

10/18/2011 12 DECLARATION of DANIEL P. CHIPLOCK in Support re: 10 MOTION to

Consolidate Cases 1:11-cv-5831; 1:11-cv-5935; 1:11-cv-6179; 1:11-cv-6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL .. Document filed by SinoTech Investor Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Chiplock, Daniel) (Entered: 10/18/2011)

10/18/2011 13 MOTION to Appoint Counsel the Rosen Law Firm ., MOTION to Appoint Lead Plaintiff., MOTION to Consolidate Cases. Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 10/18/2011)

10/18/2011 14 MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint Counsel the Rosen Law Firm . MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Kim, Phillip) (Entered: 10/18/2011)

10/18/2011 15 DECLARATION of Phillip Kim in Support re: 13 MOTION to Appoint Counsel the Rosen Law Firm . MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Kim, Phillip) (Entered: 10/18/2011)

10/18/2011 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11-6905., MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s)., MOTION to Approve of Co-Lead Counsel. Document filed by Leonard Steinborn, Michael J. Pilewski. (Attachments: # 1 Text of Proposed Order, # 2 Certificate of Service)(Jarvis, Geoffrey) (Entered: 10/18/2011)

10/18/2011 17 MEMORANDUM OF LAW in Support re: 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11-6905. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s). MOTION to Approve of Co-Lead Counsel. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s).. Document filed by Michael J. Pilewski, Leonard Steinborn. (Jarvis, Geoffrey) (Entered: 10/18/2011)

10/18/2011 18 DECLARATION of Geoffrey C. Jarvis in Support re: 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11-6905. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s). MOTION to Approve of Co-Lead Counsel. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s).. Document filed by Michael J. Pilewski, Leonard Steinborn. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H)(Jarvis, Geoffrey) (Entered: 10/18/2011)

11/01/2011 19 RESPONSE to Motion re: 10 MOTION to Consolidate Cases 1:11-cv-5831; 1:11-cv- 5935; 1:11-cv-6179; 1:11-cv-6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL .. Document filed by SinoTech Investor Group. (Chiplock, Daniel) (Entered: 11/01/2011)

11/04/2011 20 RESPONSE to Motion re: 10 MOTION to Consolidate Cases 1:11-cv-5831; 1:11-cv-5935; 1:11-cv-6179; 1:11-cv-6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD

PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL ., 7 MOTION to Appoint Counsel. MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5935, 11-cv-6179, 11-cv-6905 into 11-cv-5831 . MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s)., 3 MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL ., 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11- 6905. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s). MOTION to Approve of Co-Lead Counsel. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s).. Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Kim, Phillip) (Entered: 11/04/2011)

11/04/2011 21 DECLARATION of Phillip Kim in Support re: 13 MOTION to Appoint Counsel the Rosen Law Firm . MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Kim, Phillip) (Entered: 11/04/2011)

11/04/2011 22 MEMORANDUM OF LAW in Opposition re: 10 MOTION to Consolidate Cases 1:11- cv-5831; 1:11-cv-5935; 1:11-cv-6179; 1:11-cv-6905 -- NOTICE OF MOTION AND MOTION OF THE SINOTECH INVESTOR GROUP FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF CO-LEAD COUNSEL ., 3 MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint MOATAZ MOHAMED KHODIR to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-05831, 1:11-CV-05935, 1:11-CV-06179, 1:11-CV-06905 MOTION FOR (1) CONSOLIDATION, (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL ., 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11-6905. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s). MOTION to Approve of Co-Lead Counsel. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s)., 13 MOTION to Appoint Counsel the Rosen Law Firm . MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Zech Capital LLC. (Rosenfeld, David) (Entered: 11/04/2011)

11/14/2011 23

REPLY MEMORANDUM OF LAW in Support re: 16 MOTION to Consolidate Cases 11-5831, 11-5935, 11-6179, 11-6905. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s). MOTION to Approve of Co-Lead Counsel. MOTION to Appoint Leonard Steinborn, Michael J. Pilewski to serve as lead plaintiff(s).. Document filed by Michael J. Pilewski, Leonard Steinborn. (Attachments: # 1 Certificate of Service)(Jarvis, Geoffrey) (Entered: 11/14/2011)

11/14/2011 24

REPLY MEMORANDUM OF LAW in Support re: 7 MOTION to Appoint Counsel. MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5935, 11-cv-6179, 11-cv-6905 into 11-cv-5831 . MOTION to Appoint Zech Capital LLC to serve as lead plaintiff(s).. Document filed by Zech Capital LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Rosenfeld, David) (Entered: 11/14/2011)

11/28/2011 25 NOTICE OF CHANGE OF ADDRESS by Geoffrey Coyle Jarvis on behalf of Michael J. Pilewski, Leonard Steinborn. New Address: Grant & Eisenhofer P.A., 123 Justison Street, Wilmington, Delaware, USA 19801, (302) 622-7000. (Jarvis, Geoffrey) (Entered: 11/28/2011)

12/07/2011 26 MOTION for Leave to File Sur-Reply in Response to Points First First by Zech Capital LLC in Reply in Connection with teh Competing Lead Plaintiff Motions . Document filed by Terde Inversiones SICAV, S.A., World Policy SICAV, S.A.. (Attachments: # 1 Sur-Reply, # 2 Text of Proposed Order)(Kim, Phillip) (Entered: 12/07/2011)

12/12/2011 27 Letter addressed to Judge George B. Daniels from Phillip Kim dated 12/9/2011 re: Counsel respectfully request that the Court convert the initial pretrial conferences in the Athale, Craydar, and Gustafson Actions on for December 14, 2011 at 9:30 a.m. and in the Young Action on for January 3, 2012 at 9:30 a.m., to an oral argument on January 3, 2012 at 9:30 a.m. on the pending consolidation, lead plaintiff and counsel motions. Document filed by Bhushan Athale.(jfe) (Entered: 12/12/2011)

12/14/2011 28 SUMMONS RETURNED EXECUTED Summons and Complaint, served. Sinotech Energy Limited served on 12/8/2011, answer due 12/29/2011. Service was accepted by Karly Lalonde, Law Debenture Corporation Services, Inc. Registered Agent. Document filed by Bhushan Athale. (Kim, Phillip) (Entered: 12/14/2011)

12/14/2011 29 SUMMONS RETURNED EXECUTED Summons and Complaint, served. UBS AG served on 12/8/2011, answer due 12/29/2011. Service was accepted by Marina Valle, Paralegal. Document filed by Bhushan Athale. (Kim, Phillip) (Entered: 12/14/2011)

12/14/2011

12/21/2011

30 SUMMONS RETURNED EXECUTED Summons and Complaint, served. Lazard Capital Markets LLC served on 12/8/2011, answer due 12/29/2011. Service was accepted by Robert Lagay, General Counsel. Document filed by Bhushan Athale. (Kim, Phillip) (Entered: 12/14/2011)

31 NOTICE OF APPEARANCE by Michael Stephen Winograd on behalf of Sinotech Energy Limited (Winograd, Michael) (Entered: 12/21/2011)

12/21/2011 34 MOTION for Bret Ladine to Appear Pro Hac Vice. Document filed by Sinotech Energy Limited.(bwa) (Entered: 01/06/2012)

12/21/2011 35 MOTION for Rodney G. Strickland, Jr. to Appear Pro Hac Vice. Document filed by Sinotech Energy Limited.(bwa) (Entered: 01/06/2012)

12/21/2011 36 MOTION for Kelley M. Kinney to Appear Pro Hac Vice. Document filed by Sinotech Energy Limited.(bwa) (Entered: 01/06/2012)

12/27/2011 32 RESPONSE in Opposition re: 26 MOTION for Leave to File Sur-Reply in Response to Points First First by Zech Capital LLC in Reply in Connection with teh Competing Lead Plaintiff Motions .. Document filed by Zech Capital LLC. (Rosenfeld, David) (Entered: 12/27/2011)

01/03/2012 33 STIPULATION AND ORDER CONCERNING SCHEDULING: None of the defendants has any obligation to answer, move, or otherwise respond to the Complaint herein. (Signed by Judge George B. Daniels on 1/3/2012) (tro) (Entered: 01/03/2012)

01/10/2012 CASHIERS OFFICE REMARK on 34 Motion to Appear Pro Hac Vice, 35 Motion to Appear Pro Hac Vice, 36 Motion to Appear Pro Hac Vice in the amount of $600.00, paid on 12/21/2011, Receipt Number 1025113,1025114,1025115. (jd) (Entered: 01/10/2012)

01/20/2012 37 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 35 Motion for Rodney G Strickland, Jr. to Appear Pro Hac Vice for defendant SinoTech Energy Limited. (Signed by Judge George B. Daniels on 1/20/2012) (cd) (Entered: 01/20/2012)

01/20/2012 38 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 36 Motion for Kelley M Kinney to Appear Pro Hac Vice for defendant SinoTech Energy Limited. (Signed by Judge George B. Daniels on 1/20/2012) (cd) (Entered: 01/20/2012)

01/20/2012 39 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 34 Motion for Bret Ladine to Appear Pro Hac Vice for defendant. (Signed by Judge George B. Daniels on 1/20/2012) (cd) (Entered: 01/20/2012)

02/16/2012 ***DELETED DOCUMENT. Deleted document number 40 Endorsed Letter. The document was incorrectly filed in this case. (ab) (Entered: 02/17/2012)

02/21/2012 40 ORDER denying (3) Motion to Appoint; granting (7) Motion to Appoint; granting (7) Motion to Consolidate Cases ; terminating (10) Motion to Consolidate Cases ; denying (13) Motion to Appoint denying (16) Motion to Appoint in case 1:11-cv-05831-GBD. Pursuant to the January 3, 2012 oral argument in this matter, Movant Zech Capital's motion to appoint Zech Capital LLC to serve as lead plaintiff and to consolidate cases 11 CV 5935, 11 CV 6179, 11 CV 6905 into 11 CV 5831 (Docket #7) is GRANTED. Movant Moataz Mohamed Khodir's motion for appointment as lead plaintiff (Docket #3) is DENIED. Movant SinoTech Investor Group's motion for appointment as lead plaintiff (Docket #10) is DENIED. Movant Terde Inversiones SICAV, S.A., World Policy SICA V, S.A.'s motion for appointment as lead plaintiff (Docket #13) is DENIED. Movant Leonard Steinborn's motion for appointment as lead plaintiff (Docket #16) is denied. (Signed by Judge George B. Daniels on 2/21/2012) Filed In Associated Cases: 1:11-cv-05831-GBD, 1:11-cv-05935-GBD, 1:11-cv-06179-GBD, 1:11-cv-06905-GBD(mro) Modified on 2/22/2012 (mro). (Entered: 02/21/2012)

02/22/2012 41 NOTICE OF CASE REASSIGNMENT to Judge Alison J. Nathan. Judge George B. Daniels is no longer assigned to the case. (pgu) (Entered: 02/22/2012)

02/23/2012 42 ORDER: The 3/7/2012 conference in this matter is cancelled. The case has been reassigned to Judge Nathan. The parties should contact her chambers directly to reschedule the next conference. (Signed by Judge George B. Daniels on 2/23/2012) (tro) (Entered: 02/23/2012)

02/29/2012 43 NOTICE OF INITIAL PRETRIAL CONFERENCE denying (26) Motion for Leave to File Document in case 1:11-cv-05831-AJN. Terde Inversiones SICAV, S.A. and World Policy SICAV, S.A.'s motion to file a sur-reply memorandum of law, filed on December 7, 2011, is denied as moot. (Signed by Judge Alison J. Nathan on 2/29/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-GBD, 1:11-cv-06179-

I GBD, 1:11-cv-06905-GBD(mro) (Entered: 02/29/2012)

02/29/2012 44 NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 4/20/2012 at 11:00 AM in Courtroom 17B of the United States District Court for the Southern District of New York, 500 Pearl Street, New York, NY 10007 before Judge Alison J. Nathan. (Signed by Judge Alison J. Nathan on 2/29/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-GBD, 1:11-cv-06179-GBD, 1:11-cv-06905- GBD(mro) (Entered: 02/29/2012)

04/06/2012 46 MOTION for Brett D. Stecker to Appear Pro Hac Vice. Document filed by Zech Capital LLC.(arc) (Entered: 04/11/2012)

04/06/2012 47 MOTION for Jeffrey J. Ciarlanto to Appear Pro Hac Vice. Document filed by Zech Capital LLC.(arc) (Entered: 04/11/2012)

04/06/2012 48 MOTION for Robert B. Weiser to Appear Pro Hac Vice. Document filed by Zech Capital LLC.(arc) (Entered: 04/11/2012)

04/11/2012

04/13/2012

45

49

ORDER: As the parties have stipulated, the law firm of Robbins Geller Rudman & Dowd LLP and The Weiser Law Firm, P.C., is appointed Lead Counsel for Lead Plaintiff and the putative class. Amended Pleadings due by 5/1/2012. Any Answer or pre-Answer response to the consolidated Amended Complaint shall be filed no later than May 31, 2012. Responses due by 7/2/2012. Replies due by 7/16/2012. The Initial Pretrial Conference scheduled for April20, 2012, is adjourned until further notice from the Court. (Signed by Judge Alison J. Nathan on 4/11/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-AJN, 1:11-cv-06179-AJN, 1:11-cv-06905-AJN(ft) (Entered: 04/11/2012)

ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting (48) Motion for Robert B. Weiser to Appear Pro Hac Vice in case 1:11-cv-05831-AJN. (Signed by Judge Alison J. Nathan on 4/13/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-AJN, 1:11-cv-06179-AJN, 1:11-cv-06905-AJN(rjm) (Entered: 04/13/2012)

04/13/2012 50 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting (46) Motion for Brett D. Stecker to Appear Pro Hac Vice in case 1:11-cv-05831-AJN. (Signed by Judge Alison J. Nathan on 4/13/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-AJN, 1:11-cv-06179-AJN, 1:11-cv-06905-AJN (rjm) (Entered: 04/13/2012)

04/13/2012 51 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting (47) Motion for Jeffrey J. Ciarlanto to Appear Pro Hac Vice in case 1:11-cv-05831-AJN. (Signed by Judge Alison J. Nathan on 4/13/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-AJN, 1:11-cv-06179-AJN, 1:11-cv-06905-AJN(rjm) (Entered: 04/16/2012)

04/24/2012

CASHIERS OFFICE REMARK on 48 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 04/06/2012, Receipt Number 1034712. (jd) (Entered: 04/24/2012)

04/24/2012


04/24/2012


05/01/2012 52

CONSOLIDATED AMENDED COMPLAINT FOR VIOLATIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934 against Xiaoxuan Bi, Citigroup Global Markets, Inc., Lazard Capital Markets LLC, Jing Liu, Qingzeng Liu, Donald J. Puglisi, Sinotech Energy Limited, UBS AG, UBS Securities LLC, Ernst & Young Hua Ming, Gouqiang Xin, Heqing Yao, Boxun Zhang with JURY DEMAND.Document filed by Bhushan Athale. (Received in the night deposit on 5/1/2012 at 11:26 pm)(mro) (Entered: 05/03/2012)

05/31/2012 53 NOTICE OF APPEARANCE by Angie Young Kim on behalf of Sinotech Energy Limited (Kim, Angie) (Entered: 05/31/2012)

05/31/2012 54 NOTICE OF APPEARANCE by Steven Mark Schatz on behalf of Sinotech Energy Limited (Schatz, Steven) (Entered: 05/31/2012)

05/31/2012 55 NOTICE OF CHANGE OF ADDRESS by Angie Young Kim on behalf of Sinotech Energy Limited. New Address: Wilson Sonsini Goodrich & Rosati, 650 Page Mill Road, Palo Alto, California, 94304, 650-493-6811. (Kim, Angie) (Entered: 05/31/2012)

05/31/2012 56

05/31/2012 57

MOTION to Dismiss Plaintiffs' Consolidated Amended Complaint By Defendants UBS AG, UBS Securities LLC, Citigroup Global Markets Inc., and Lazard Capital Markets LLC . Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC.(Kirsch, Mark) (Entered: 05/31/2012)

MEMORANDUM OF LAW in Support re: 56 MOTION to Dismiss Plaintiffs' Consolidated Amended Complaint By Defendants UBS AG, UBS Securities LLC, Citigroup Global Markets Inc., and Lazard Capital Markets LLC.. Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC. (Kirsch, Mark) (Entered: 05/31/2012)

05/31/2012 58 DECLARATION of Mark A. Kirsch in Support re: 56 MOTION to Dismiss Plaintiffs' Consolidated Amended Complaint By Defendants UBS AG, UBS Securities LLC, Citigroup Global Markets Inc., and Lazard Capital Markets LLC.. Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC. (Attachments: # 1 Exhibit A)(Kirsch, Mark) (Entered: 05/31/2012)

05/31/2012 59 DECLARATION of Theresa Hu in Support re: 56 MOTION to Dismiss Plaintiffs' Consolidated Amended Complaint By Defendants UBS AG, UBS Securities LLC, Citigroup Global Markets Inc., and Lazard Capital Markets LLC.. Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC. (Kirsch, Mark) (Entered: 05/31/2012)

05/31/2012 60 CERTIFICATE OF SERVICE of Motion to Dismiss Plaintiffs' Consolidated Amended Complaint on May 31, 2012. Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC. (Kirsch, Mark) (Entered: 05/31/2012)

05/31/2012 61 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT.. Document filed by Citigroup Global Markets, Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC.(Kirsch, Mark) Modified on 6/1/2012 (gp). (Entered: 05/31/2012)

05/31/2012 62 MOTION to Dismiss DEFENDANT SINOTECH ENERGY LIMITED'S NOTICE OF MOTION AND MOTION TO DISMISS AND TO STRIKE . Document filed by Sinotech

I Energy Limited.(Kinney, Kelley) (Entered: 05/31/2012)

05/31/2012 63 MEMORANDUM OF LAW in Support re: 62 MOTION to Dismiss DEFENDANT SINOTECH ENERGY LIMITED'S NOTICE OF MOTION AND MOTION TO DISMISS AND TO STRIKE .. Document filed by Sinotech Energy Limited. (Kinney, Kelley) (Entered: 05/31/2012)

05/31/2012 64 DECLARATION of BRET H. LADINE in Support re: 62 MOTION to Dismiss DEFENDANT SINOTECH ENERGY LIMITED'S NOTICE OF MOTION AND MOTION TO DISMISS AND TO STRIKE .. Document filed by Sinotech Energy Limited. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Kinney, Kelley) (Entered: 05/31/2012)

05/31/2012 65 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Sinotech Energy Limited.(Kinney, Kelley) (Entered: 05/31/2012)

06/01/2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Mark Kirsch to RE-FILE Document 61 Rule 7.1 Corporate Disclosure Statement,. ERROR(S): Corporate Parents were not added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). (gp) (Entered: 06/01/2012)

06/04/2012 66

RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent LFCM Holdings LLC for Lazard Capital Markets LLC; Corporate Parent Citigroup, Inc. for Citigroup Global Markets Inc.; Corporate Parent UBS AG for UBS Securities LLC. Document filed by Citigroup Global Markets Inc., Lazard Capital Markets LLC, UBS AG, UBS Securities LLC.(Kirsch, Mark) (Entered: 06/04/2012)

06/04/2012 67 NOTICE OF APPEARANCE by Christopher Michael Barrett on behalf of Zech Capital LLC (Barrett, Christopher) (Entered: 06/04/2012)

06/13/2012 68 ENDORSED LETTER: addressed to Judge Alison J. Nathan from David A. Rosenfeld dated 6/6/2012 re: Counsel writes Pursuant to Section 3.F of Your Honor's Individual Practices, we are hereby notifying the Court and the Defendants that we intend to file a Second Consolidated Amended Complaint and respectfully request until July 2, 2012 to do so. ENDORSEMENT: So Ordered. The motions to dismiss, Docket entries 56 and 62, are denied without prejudice. No later than July 16, 2012, Pursuant to section 3.F of the Court's Individual Rules, each defendant shall (1) File an Answer; (2) File a new Motion to Dismiss; or (3) Resubmit its previously filed motion. (Signed by Judge Alison J. Nathan on 6/13/2012) (js) (Entered: 06/13/2012)

06/26/2012 69 ORDER: It is ORDERED that 1. If Defendants elect to re-file their original motions to dismiss, they shall do so no later than July 16, 2012. Plaintiffs shall file any opposition no later than August 15, 2012. Defendants shall file any reply no later than August 29, 2012. 2. If Defendants elect to file an answer or file new motions to dismiss, they shall do so no later than August 1, 2012. Plaintiffs shall file any opposition no later than August 31, 2012. Defendants shall file any reply no later than September 14, 2012., ( Motions due by 8/1/2012., Responses due by 8/31/2012., Replies due by 9/14/2012.) (Signed by Judge Alison J. Nathan on 6/25/2012) Filed In Associated Cases: 1:11-cv-05831-AJN, 1:11-cv-05935-AJN, 1:11-cv-06179-AJN(lmb) (Entered: 06/26/2012)

07/02/2012 70 SECOND CONSOLIDATED AMENDED COMPLAINT amending 52 Amended

Complaint, against Sinotech Energy Limited et al with JURY DEMAND.Document filed by Bhushan Athale. Related document: 52 Amended Complaint, filed by Bhushan Athale.(cd) (ml). (Entered: 07/05/2012)

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