Case 1:11-cv-10230-MLW Document 454 Filed 08/16/18 Page 1 of 4
UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS
ARKANSAS TEACHER RETIREMENT SYSTEM, on behalf of itself and all others similarly situated,
Plaintiff, No. 11-cv-10230-MLW vs.
STATE STREET BANK AND TRUST COMPANY,
Defendant. ______/
ARNOLD HENRIQUEZ, MICHAEL T. COHN, WILLIAM R. TAYLOR, RICHARD A. SUTHERLAND, and those similarly situated,
Plaintiffs, No. 11-cv-12049-MLW vs.
STATE STREET BANK AND TRUST COMPANY,
Defendant. ______/
THE ANDOVER COMPANIES EMPLOYEE SAVINGS AND PROFIT SHARING PLAN, on Behalf of itself, and JAMES PEHOUSHEK- STANGELAND and all others similarly situated,
Plaintiffs, No. 12-cv-11698-MLW vs.
STATE STREET BANK AND TRUST COMPANY,
Defendant. ______/
SPECIAL MASTER’S RESPONSE TO COURT’S AUGUST 10, 2018 ORDER
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On August 10, 2018, the Court directed the Special Master and the Lawyers to update the
court on various issues pertaining to the status of these proceedings. Dkt. # 445. Specifically, the
Court ordered that, by August 16, 2018, the Master (a) confer with the Lawyers and propose a
schedule for the Master’s response to the objections to the Report and any replies; and (b) file for
the public record any documents added to the Record by the Master on August 6, 2018.1 Dkt.
445, ¶¶ 5(a) & (b).
The Special Master has conferred with counsel as to a mutually-agreeable timeline proceeding forward.2 The Master proposes the following set forth below.
I. The Special Master’s Compliance with 5(a) of the Court’s Order Proposing a Schedule for Responding to the Objections and Replies thereto.
In light of the ongoing discussions to propose a joint resolution for the Court’s
consideration, the Special Master proposes delaying the preparation of his response to the
objections until those discussions have been completed, or alternatively, proven to be productive,
at the latest, by September 6, 2018 (4 weeks from the date of the August 9, 2018 hearing before
the Court). When negotiations are complete or have reached their end, by September 6, the
Special Master will present a recommended global resolution, if reached, to the Court for its
consideration in moving forward with its review of the Master’s Report and Recommendations.
1 On August 3, 2018, the Master filed, under seal, the Special Master’s First Submission of Documents to Supplement the Record. Dkt. #415. The same day, the Master submitted a disc to the Court containing the first set of supplemental documents to the Court. Those documents, with two redactions made on page 81 (LBS020590) and pages 286-89 (LBS031599-602) to remove personal information of third parties unrelated to the issues presented in the Master’s investigation, are herein attached to this pleading and now available to the public.
2 At the time of filing, Labaton agrees to, and Keller Rohrback and Zuckerman Spaeder taken no position on, the timeline proposed in Section I, infra. Other counsel had not yet responded. Thornton Law Firm objects to the proposed timeline and suggests instead that the Special Master respond to the objections by September 7, 2018, and that Customer Class Counsel reply by September 28, 3018.
2
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If, however, the parties have not yet reached an agreement for joint resolution by September 6,
2018, but believe that global resolution is imminent, such that it may be reached in an additional
period of time not to exceed seven (7) days, the Special Master agrees that he will file with the
Court a joint motion requesting such additional time (not to exceed 7 days) to complete the resolution process. Because a proposed joint resolution among the parties and the Special Master may limit, and potentially obviate, the Special Master’s obligation to respond to the Law Firms’ objections, the Special Master proposes that the “clock” for responding to the Law Firms’ objections not run until the later of the following: (i) the date, prior to September 6, when the efforts at negotiating a joint resolution prove unsuccessful; (ii) the Court definitively rules, either rejecting or accepting the proposed resolution; or (iii) the Court provides additional direction to the parties. From the date of this determination, the Special Master requests eight (8) weeks to file his response to the objections and any additional documents relevant to that response to further supplement the Record. Pursuant to the Parties’ Protocol (Dkt. # 259) and the Court’s
August 10 Order, any documents in the Special Master’s response that are not already in the
Record will be filed under seal and released publicly with any appropriate redactions within 14 days of that filing, after the parties have had an opportunity to confer about the appropriate redactions.
Thornton has proposed that Customer Class Counsel have twenty-one (21) days3 to file a reply to the Master’s response to the objections.
3 As indicated above, Thornton proposes that the Customer Class Counsel file a reply by September 28, 2018, three weeks, or 21 days, after its proposed deadline for the Special Master’s response to the objections.
3
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II. The Special Master’s Compliance with ¶ 5(b) Concerning the Status of Documents Filed in the Master’s First Submission of Documents to Supplement the Record.
Per paragraph 5(b) of the Court’s Order, the Special Master herein files the documents added to the record in the Special Master’s First Submission of Documents to Supplement the
Record filed with the Court, under seal, on August 3, 2018.4 So far, the only requests for
redactions, to which the Special Master is agreeable, is the redaction of Tim Herron’s daughter’s
resume and law school transcript.
Dated: August 16, 2018 Respectfully submitted,
SPECIAL MASTER HONORABLE GERALD E. ROSEN (RETIRED),
By his attorneys,
/s/ William F. Sinnott William F. Sinnott (BBO #547423) Elizabeth J. McEvoy (BBO #683191) BARRETT & SINGAL, P.C. One Beacon Street, Suite 1320 Boston, MA 02108 Telephone: (617) 720-5090 Facsimile: (617) 720-5092 Email: [email protected] Email: [email protected]
CERTIFICATE OF SERVICE
I hereby certify that this foregoing document was filed electronically on August 16, 2018 and thereby delivered by electronic means to all registered participants as identified on the Notice of Electronic Filing (“NEF”). Paper copies were sent to any person identified in the NEF as a non-registered participant.
/s/ William F. Sinnott William F. Sinnott
4 Access to an electronic database containing these documents was given to the Law Firms, through their counsel, contemporaneously with serving those documents on the Court.
4
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Keller, Christopher J. Sent: Monday, March 5, 2007 11:12 AM To: ’[email protected]’ Cc: ’[email protected]’; ’[email protected]’; Rado, Andrei
Its yours. I didn’t know you had interest it local counsel positions. We may be filing another one in TX, in addition to l. and I will let you lknow as we get closcr to filing. Jnst so you, since there will be a lead plaintiff contest under the PSLRA, there is no gaurm~tee we (or you) will be actively litigating the case. Chris
Sent from my- BlackBerry Wireless Handheld
..... Onginal Message ..... From: Kamran Mashayekh
Christopher:
We sent you an email and left a message with your assistam this morning that our finn (Chargois, mashayekh and herron) is interesled in being local on the case and wishes to explore what that would enlail in lhis case.
ff we still have a shot for being considered, please let us know how best to proceed.
Thank you
k
From: Keller, Christopher J. [._m_..a__~l_t__o.’_.__c..k__~l__l.~_r.(~_.!l__a..b__~l_tl)_~,_c_..o___m_] Sent: Monday, March 05, 2007 10:55 AM To: [email protected] Cc: Kamran Mashayekh; BeN, Eric J. Subject: Re:
Thanks. I think we will be ok finding an alternate firm I wanted to give you guys first shot at it.
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Sent from my- BlackBerry.- Wireless Handheld
..... Original Message ..... From: Laurence Tien
Chris,
My firm probably would uot be iuterested in beiug local counsel for the ~~ case but tlulnk you for thinking of us. ff Kamran’s firm is not interested, then I can probably find some good attorneys for you.
Laurence
Original Message ..... > From: Keller, Christopher J. [mailto:ckeller~tlabaton.com] > Sent: Saturday, March 03, 2007 10:58 PM > To: Laurence Tien > Cc: [email protected]; Belfi, Eric J. > Subject: FW:
> Laurence: I am glad to hear that things are moving forward. > Wc arc hea~_~T into options backdating cases and arc lead > counsel in over 1/3 of all 10b cases involving options > backdating. In fact, we are planning on filing a new case > against ~, which is based in Houston. If > you would like to act as local counsel, please let me know. > The Google case sounds interesting also. C1Ns
Origiiml Message ..... > From: Laurence Tien
> Finally, someone brought ~o my attention a polential case > against Google. A friend of ~nine advertises with Google. > Google has certainbusinesses they are pushing like > classifieds. Their classifieds competes agains| ofl~er
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> classifieds who may be paying Google’s for top placement. > Google’s top placement ensures a bunch of hits, wlfich ends up > driving the ad prices for people wanting to advertise for > classifieds. I don’t know what laws they may be violating > with Otis practice, but it seems like it would be illegal. I > included a document showing how Google competes in some of > their Adwords advertising program. Anyway, you may want to > look at tlfis. My friend could be a class rep for their classifieds.
> Laurence Ticn > > Bailey Perrin Bailey LLP > The L~yric Centre > 440 Louisiana, Suite 2100 > Houston, TX 77002
>* Telephone (713) 425-7100 >* Direct (713) 425-7264 > * Toll-Free (866) 716-8300 > * Fax: (713) 425-7101 > * E-mail: ltien~bpblaw.com
> CONFIDENTIALITY NOTICE > > This e-mail and an~v attachments are confidential and may be > protected by legal privilege. If you are not the intended > recipient, be aware tlmt any disclosure, copyh~g, > distribution or use of this e-mail or any attachment is > prohibited. In such case, you should destroy this message > and kindly notify, the sender by e-mail. Please advise > ilmnediately if you or your employer do not consent to > internet e-mail for messages of tiffs kind. Opinions, > conclusions and other information in this message that do not > relate to the official business of my firm shall be > understood as neither given nor endorsed by it.
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Keller, Christopher J. Sent: Wednesday, March 7, 2007 3:36 PM To: Belfi, Eric J.
What is bird dogging?
Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853N~]~ Fax: (212) 883-7053~:~’~: e-mail: [email protected] www.Labaton.com
From: Belfi, Eric J. Sent: Wednesday, March 07, 2007 3:18 PM To: Keller, Christopher J. Subject: FW: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
To keep you in loop on the South.
From: Damon Chargois [mailto:[email protected]] Sent-" Wednesday, March 07, 2007 3:16 PM To-" Belfi, Eric J.; Kamran Mashayekh ¢:c-" Tim Herron Subject-" RE: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
I am bird-dogging.
Damon J. Chargois
The information contained in this transmission is attorney work product, privileged and confidential, including protected by the attorney-cfient privilege, investigative privilege, common law and/or constitutional protections. Unless otherwise indicated, it is only intendedfor viewing by the named
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17414 Case 1:11-cv-10230-MLW Document 454-2 Filed 08/16/18 Page 2 of 3
recipient(s) identified herein by the sender. You are hereby advised to not forward, copy, or otherwise produce for viewing and/or use by anyone not identified or intended by the sender.
From: Belfi, Eric J. [mailto:[email protected]] Sent: Wednesday, March 07, 2007 2:04 PM To: Kamran Mashayekh Cc: Tim Herron; Damon Chargois Subject: RE: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
Not yet. We are waiting for a response from Laurence.
From: Kamran Mashayekh [mailto:[email protected]] Sent: Wednesday, March 07, 2007 3:02 PM To: Belfi, Eric J. Cc: Tim Herron; Damon Chargois Subject: RE: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
You are welcome and I will be getting with Aubochon to see where he is relative to his efforts in securing a client for us. Thank you also for theicase which our firm will be local counsel on.
Is there a meeting scheduled with Ken Bailey’s firm relative to securing union reps?
From: Belfi, Eric J. [mailto:[email protected]] Sent: Wednesday, March 07, 2007 1:47 PM To: Kamran Mashayekh Subject: RE: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
Thanks for the update.
From: Kamran Mashayekh [mailto:[email protected]] Sent: Tuesday, Narch 06, 2007 9:28 PM To: Belfi, Eric J. Cc: Tim Herron; Damon Chargois Subject: Eric- this email is from Mark Aubochon who is willing to assist on the new potential price fixing case
Hi Kamran, It’s probably on the same degree of difficulty as DRAM and easier than SRAM. Almost any device that "remembers" its settings after it shut off has flash memory or SRAM. Of course the trick will be finding a company small enough, but with a high enough volume of flash to care. The USB drive manufacturers would be where I’d target first. There are a several of them out there and at least to my knowledge they are relatively small companies.
Actually, the company that I’m doing the contract work for SanDisk through has a PDA that uses flash that they supply to Disney. They took a iPAQ PDA and modified the design to be "rugged" enough for the Disney theme park use. They may not have purchased the flash directly from one of the guys listed below, but maybe they did. I can ask the owner the next time I talk to him. He’s in Russia at the moment but he’ll be back by next week.
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Mark
***Privilege and Confidentiality Notice***
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Keller, Christopher J. Sent: Friday, March 23, 2007 3:39 PM To: Belfi, Eric J.
pretty much, except for intraday
..... Original Message ..... From: Belfi, Eric J. Sent: Friday, March 23, 2007 3:05 PM To: Keller, Christopher J. Subject: Re: potential case against bear stems
I will check with him on my reply email - aren’t you grounded now?
Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878~) Fax: (212) 883-7078~:~)~ [email protected] www.labaton.com
Sere from my BlackBer~ Wireless Handheld
..... Original Message ..... From: Keller, Christopher J. To: Belfi, Eric J. Sent: FriMar 23 15:03:23 2007 Subject: RE: potential case against bear sterns always interesled in new cases, bul I was really hoping lhe nexl email from him was going lo be one selling meelings wilh potential clients.
..... Original Message ..... From: Belfi, Eric J. Sent: Friday, March 23, 2007 2:55 PM To: Keller, Christopher J.; Szydlowski, Alan; Rado, Andrei Subject: Re: potential case against bear stems
Let me know when you are available on Monday and Tuesday and I will arrange the call.
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Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878~: Fax: (212) 883-7078~i [email protected] www.labaton.com
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... From: Keller, Christopher J. To: Belfi, Eric J.; Szydlowski, Man; Rado, Andrei Sent: Fri Mar 23 14:53:57 2007 Subject: Re: potential case against bear stems
Andrei and alan will handle.
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... From: Belfi, Eric J. To: Keller, Christopher J.; Szydlowski, Alan; Rado, Andrei Sent: Fri Mar 23 14:46:16 2007 Subject: Re: potential case against bear stems
I think we should talk to this guy let me know when you would be available on Monday.
Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878~: Fax: (212) 883-7078@~ [email protected] www.labaton.com
Sent from my BlackBerry Wireless Handheld
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..... Original Message ..... From: Belfi, Eric J. To: Keller, Christopher J.; Szydlowski, Alan Sent: Fri Mar 23 14:42:29 2007 Subject: Fw: potential case against bear stems
Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878~!!,.,~ Fax: (212) 883-7078g+~!! [email protected] www.labaton.com
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... From: Kamran Mashayekh
Eric:
We have a client who is a fund manager in CA and he sent me the following email regarding New Century for he knows that our firm has an FCRA case against them. ffyour firm already has a client who has sued NC on a securities case, perhaps Bear Stems canbe brought in as a culpable party. I welcome your thoughts and if you wish to speak to our client who forwarded this info, I will be glad to arrange for a call. I am also going to follow up on the Shell matter for you next week with my European contact.
Thanks
K
Another thought in finding deep pockets is the analyst that touted these companies as "buys" For example Bear Steams upgraded the stock of New Century a week or 10 days before NC fell apart. Oh, by the way, BS was one of the biggest packagers of NC’s MBS. Think they had an ulterior motive that wasn’t criminal?
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Keller, Christopher J. Sent: Wednesday, June 6, 2007 5:27 PM To: Tetefsky, Jennifer
Jen did you circulate the rpt showing we get most in securities bar 2 yrs running?
Sent from my BlackBen-y Wireless Handheld
..... Original Message ..... From: Tetefsky, Jennifer To: Belfi, Eric J.; Keller, Christopher J. Sent: Wed Jun 06 17:15:28 2007 Subject: Re: Unions
Get em while fiaey axe hot
..... Original Message ..... From: Belfi, Eric J. To: Keller, Christopher J. Cc: Tetefsky, Jennifer Sent: Wed Jun 06 16:02:01 2007 Subject: FW: Unions
There is life in Texas.
..... Original Message ..... From: [email protected] [mailto:damon@~_lp:_c_9__m__] Sent: Wednesday, June 06, 2007 3:42 PM To: Belfi, Eric J.; Kamran Mashayekh Cc: Tim Herron Subject: Re: Unions
His son’s name is Camp and I know him. He’s a young lawyer who is very personable. He was an associate at Wiiliams Bailey and now works for his dad.
Can I call you in about an hour? Sent via BlackBerr,v from Cingular Wireless
..... Original Message ..... From: "Belfi, Eric J."
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Date: Wed, 6 Jun 2007 14:51:16 To:
It sounds very encouraging. Do you know Ken’s son?
Also, if you have time to talk today, it may be worth having a 5 minute call to update you on the securities market.
Eric
..... Original Message ..... From: [email protected] [[email protected].~.l.l.p.=.c.9..m..] Sent: Wednesday, June 06, 2007 2:44 PM To: Kaxnrma Mashayekh; Belfi, Eric J. Cc: Tim Herron Subject: Re: Unions
Sent via Blac ~kBerry from Cingular Wireless
..... Original Message ..... From: "Kamran Mashayekh"
Date: Wed, 6 Jun 2007 12:25:30 To: "Belfi, Eric J."
Got a response back from bailey’s office that bailey’s son also wants to get involved in whatever it is that will be up for discussion. The ball is still in their court to get back to us with a date. We will just keep pushing.
From: Belfi, Eric J. [[email protected].~.c.9..m..] Sent: Wednesday, June 06, 2007 12:25 AM To: [email protected] Cc: Kaxnrax~ Mashayekh Subject: Unions
Deax Ken:
It has been a couple of months since we met with you in your office a~d I wanted to follow up with you to see how you were doing with the~
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I have travel commitments over the next two weeks. However, from June 25 forward, I will be available to go and meet with the[~l~l]~]or any funds that you think make sense for us to meet.
If there is any that you need from us, do not hesitate to contact me.
Best regards,
Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) Fax: (212) 883-7078@~i [email protected] www.labaton.com ***Privilege and Confidentiality Notice***
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700~? and take the steps necessary to delete the message completely from your computer system. Thank you.
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Keller, ChriStopher J. Sent: Monday, August 13, 2007 6:12 PM To: Chan, Cindy
Christopher J. Keller, Esq~ Pa~ner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N:Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: ckeller@labaton~com www:Labaton.com
From." BeN, Eric 3, Sent: Thursday, August 09, 2007 I:46 PN To-" Tetefsky, Jennifer Cc: Keller, Christopher J. Subject; FW: Potential Antitrust Case Advisory: Sodium Chlorate
Jennifer:
Can you have Giancarlo find out information for us on Senator Farris in Arkansas, Our mccting is next W~nesday so we need it as soon as possible.
From: Damon Chargois [mailto:[email protected]] Sent: Thursday, Augus~ 09, 2007 1:09 PM To: Belfi, Eric J. Subject: RE: Potential Antitrust Case Advisory: Sodium Chlorate
Eric, Senator Farris is on for meeting in our Little Rock office at 11:00 am on Wednesday of nexl week. We are having food brought in. The senator is prepped to have a private: meeting with US so that ~here are no distractions~ He is prepared to hear you aut and take necessary steps after you do your ~hing. There will most likely have to be a subsequent meeting witti Senator Farris and the Governor or Attorney General after you have impressed the senator will~ your firm’s credentials.
Damon ~L Chargo~s
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017432 Case 1:11-cv-10230-MLW Document 454-5 Filed 08/16/18 Page 2 of 3
7he i~fi)rmadOn comained in this tra~tsmission is at~ot~t¢v work pr~uJuet, privileged dttd eot~fidenlial, mch~ding protected by the at~orney-e#ent privilege, investigative pvi~#lege, eommot~ law at~d~Or eonstitutiottal protecdons, U~dess otherwise mdicate~£ it is o~tO~ imendedjbr viewing by the named t~cipient(9 ide~t~ed het~in ~v the sender~ You are hereby advised to not.f!~ar~ copy, or othe~’ise produce Jbr viewing and4~r use O~ aqFone not ident~ied or intended by the sender:
From: Belfi, Eric J. [mailto:[email protected]] Sent: Wednesday, August 08, 2007 2:33 PM To: Belfi, Eric J, ~ubject: Potential Antitrust Case Advisory: S~ium Chlorate
O~w firm is investigating whether potential anticompetitive activ!~ involving European tnanufacmrers of sodium chlorate may have extended to the US and injured purchasers in the domestic US market. I have included some background in~)3rmation about the matter below. Please We me a call when you can to discuss whether your contacts may be of value in connection with our investigation. Thank you.
Backgro~d
European Commission antitrust regulators sent statements of objections to manufacturers of sodium chlorate in the F~uropean Union on Au~st 2, 2007, to investigam concerns that companies participamd ~n a price-fixing cartel. Per its policy, the EC did not name the companies involved nor the member states where they are based. While there may be additional recipients yet to be identified, three companies have confirmed tha~ they ha~:e received statements of- objections relating to anticompetitive activities, They are:
Arkema, of FranCe, FiriniSh Chemicals Oy, a subsidiary of Finland’s Kemira Oyi, and Eka Cheinicais, a uilit o[ Netheriands based Akzo Nobel NV~
During the past decade or more there has been a l~air de~ee of consolidation or other corporate shuffling
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within the industry, so mannt!hcturer names may have changed over time (e~., Arkerna is a former subsidiary of Elf-’Iotal and is also formerly known as Atofin~). l\vo of the companies have confimned that the EC’s lnqmry concerned the period 1994 to 2000: our mqmry includes but extends beyond that timc£rame ~nd may extend ro othermanufacmrers.Accordingly, please do not assume that purchases from onlythe companies identified above ~re relevant re) our lnOlulI)L We are not aware of any parallelantitmst enforcement activity by the US Department of Justiceat this time.However.we do knowthat each of the companies targeted by the EC also have operations in theUS. and that Eka and FinnChem are among the worldleaders in sodium chlorate production.Other major sodium chloratemamffacturers include ERCO Worldwide and Canexus (both based in Canada) andTronox Inc. (based in Oklahoma City). Eric J. Belfi Parmer Labaton Sucharow&RudoffLLP 100 Park Avenue New York, New York 10017 Phone: (212)907-0878 Fmx: (212) 883 7078 ebclfi((~labaton.com
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017434 Case 1:11-cv-10230-MLW Document 454-6 Filed 08/16/18 Page 1 of 2
Keller, Christopher J. Sent: Monday, August 13, 2007 6:13 PM To: Chan, Cindy
Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853!~;~;~i Fax: (212) 883-7053~!!i e-mail: ckeller~labaton.com www.Labaton.com
..... Original Message ..... From: Belfi, Eric J. Sent: Thursday, August 09, 2007 11:47 PM To: [email protected]; [email protected] Cc: Keller, Christopher J. Subject: Arkansas Targets
Damon & Tim:
Here is a list of the targets in Arkansas:
1 Arkansas Teachers Retirement Little Rock $7,700.0
Eric J. Belfi Partner
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17435 Case 1:11-cv-10230-MLW Document 454-6 Filed 08/16/18 Page 2 of 2
Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878~~;) Fax: (212) 883-7078~ [email protected] www.labaton.com
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17436 Case 1:11-cv-10230-MLW Document 454-7 Filed 08/16/18 Page 1 of 2
Keller, Christopher J. Sent: Friday, August 17, 2007 7:01 AM To: Sucharow, Lawrence
Any word on rds?
Sent from my BlackBenT Wireless Handheld
..... Original Message ..... From: Sucharow, Lawrence To: Belfi, Eric J.; Keller, Christopher J. Cc: Tetefsky, Jennifer Sent: Fri Aug 17 01:44:18 2007 Subject: Re: Faris
Vent nice.
Sent from my BlackBent Wireless Handheld
..... Original Message ..... From: Belfi, Eric J. To: Keller, Christopher J.; Sucharow, Lawrence Cc: Tetefsky, Jennifer Sent: Thu Aug 16 22:34:26 2007 Subject: Faris
FYI...... Original Message ..... From: [email protected] [..m...a.i..1.t..o.i.d...a..m..9..n..~,,.c.~.l..lp....c..o...m..] Sent: Thursday, August 16, 2007 9:26 AM To: Belfi, Eric J.; [email protected] Subject: Re: Little Rock
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17437 Case 1:11-cv-10230-MLW Document 454-7 Filed 08/16/18 Page 2 of 2
You guys did well. Tim and I both feel very optimistic about Labaton finn’s doing a lot of good things in Arkansas. This is ~a~kks to you and Chris representing the firm very well. Take care, bro.
Sent via BlackBerr~v by AT&T
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17438 Case 1:11-cv-10230-MLW Document 454-8 Filed 08/16/18 Page 1 of 2
Keller, Christopher J. Sent: Wednesday, September 26, 2007 8:25 PM To: Belfi, Eric J.
Awesome.
..... Original Message ..... From: Beffi, Eric J. Sent: Wednesday-, September 26, 2007 8:23 PM To: Keller, Christopher J. Cc: Suchamw, Lawrence; Tetefsky, Jemfifer Subject: Fw: Brent Hatch
FYI.
Eric J. Belfi Partner Labaton Suclmrow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 ebclfi~!labaton.com www.labaton.com
..... Original Message ..... From: [email protected]
Tile good seimtor is finalizing with Patti Doan on Frida3~. Everybody wants sometlfing sometimes. Specifically, tile Labaton firm will represent the pension fund. Please be discreet and act surprised when it happens.
Sent via BlackBerry. by AT&T
..... Original Message ..... From: "Belfi, Eric J."
Date: Wed, 26 Sep 2007 17:56:51 To:
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017442 Case 1:11-cv-10230-MLW Document 454-8 Filed 08/16/18 Page 2 of 2
We have lunch with Brent on Tuesday.
I e~nailed Elaine and Sara to make the necessary arrm~gemeuts.
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017443 Case 1:11-cv-10230-MLW Document 454-9 Filed 08/16/18 Page 1 of 3
Keller, Christopher J. Sent: Saturday, October 20, 2007 10:05 AM To: Yet&sky, Jennifer
Want to change bio to include I
Christopher Keller Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... Froln: Tetefsl~-, Jelmifer To: Belfi, Eric J.; Sucharow, Lawrence Cc: Keller, Christopher J. Sent: Sat Oct 20 09:51:18 2007 Subject: Re: Update
Monday
..... Original Message ..... From: Beffi, Eric J. To: Sucharow, Lawrence Cc: Keller, Christopher J.; Tetefsl~.-, Jemfifer Sent: Sat Oct 20 07:49:27 2007 Subject: Re: Update
When does j uU seleclion begin?
Eric J. BeN Partner Labaton Suclmrow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsilnile: +1.212.883.7078 ebelfi~!labaton.com www.labaton.com
..... Original Message .....
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017444 Case 1:11-cv-10230-MLW Document 454-9 Filed 08/16/18 Page 2 of 3
From: Sucharow, Lawrence To: Belfi, Eric J. Cc: Keller, Cluis|opher J.; Te|efsky, Jemfifer Sent: Sat Oct 20 07:35:13 2007 Subject: RE: Update
Eric, GREAT job. Don’t know how you keep the ~straight from the;. Need to discuss the’ project request. WW too rich a request, but can’t judge without seeing a hst of what you think he can realistically accomplish (deliver) and what size of those funds really are (and in US equities).
Keep up great work. I am uexpectedly going out to ose~we ~trial for this coming week; we willueed to arrauge to speak by phone to move things along.
..... Original Message ..... From: BeffL Eric J. Sent: Friday, October 19, 2007 7:27 PM To: Sucharow, Lawrence Cc: Keller, Christopher J.; Tetefsky, Jmmifer Subject: Update
Lain.-:
A quick sunnnary of the trip.
In Oklahoma we had good meetings with the ~ and the ~ Damon thinks we will get in both.
~ currently has Litowitz but certainly nnderstands the values of multiple firms (ie conflicts).
~ cnrrently does not have any attorneys and is interested in setting a monitoring &stem - they should get back to us soon.
In Texas, we met with Steve IClaerkher of William & Kherkher - formally of Williams & Bailey and they are going to introduce us to their u~fion clients. They made big money in tobacco and asbestos with |he unions.
Here is a list from their website:
Paper, Allied-Industrial, Cheufical & Energy Workers Union (PACE) Local 4-6000 United Steelworkers (USW) 13-227 USW 13-2001 Int’l Brotherhood of Electrical Workers (IBEW) 66 IBEW 716 Int’l Union of Operating Engineers (IUOE) 450 1UOE 564 IUOE 351 In’tl Association of Machinists & Aerospace Workers (IAM & AW) 37 Millwrights 2232 Ironworkers 84 Plumbers 68 Sheetmetal Workers 54 Pipefitters 211
We will starl this project hopefully in about 2 to 3 weeks.
They will also help us with some of the public pension funds h~ Texas.
For lunch, one of Damon’s classmates at law school and good buddies - Scott Lemond - set up an appoint~nent the head of the ~ - the guy is ve15.- bright and the meeting went awesome - I think we will be in there shortly.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017445 Case 1:11-cv-10230-MLW Document 454-9 Filed 08/16/18 Page 3 of 3
Scott is going to get us in to the ~ next time we are town.
Damon’s plans are to expand the Oklahoma operation, work on the ~. (he is good friends with the mayor) and start working in Alabama at the municipal level - they are rely tied in Alabama.
Tim is making sure that we complete Arkansas and he is openiug the Temlessee front - I hope to go there on the ne~ road trip.
Wc will bc getting some traffic through office during the week of November 5 - Senator Farris, Tim Hcrrol~ Damon, and Steve KherKher and possibly- Camp Bailey- of Bailey (they are the link to the~. and many other union finials).
Lastly the ~ project - I went to Foxwoods and met with Mohegan Sun and The Saginaw Chippewa Indian Tribe (who interestling filed an AOL proof of claim and received $3 million wlfich I estimate that they lost $50 million which means tha they are a real fund), Buz Barlow, a la~?-er from Dallas, with Jabez Capital (an Indian Fund) and few other contacts but noflfing of note.
One issue we have with the ~ project is that consultant sees fllat lie is making progress mid lie wants to reccivc a monthly retainer of $12,000 a month going forcvard for him to kccp doing the work. Uiffortunatcly, hc is doing a good job and seems to l~low eveiyone so I am uot sure what to do.
We are also working Damon’s lawyer fliend Gary. Pitclflyml - also an Indiml - and he thinks lie can deliever the Mississippi Band o~ and the ~: to start and lkqs a number of other contacts.
Lots of follow up necessary.
Eric
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017446 Case 1:11-cv-10230-MLW Document 454-10 Filed 08/16/18 Page 1 of 2
Keller, Christopher J.
I agree, What about South Beach instead? It!s a lot easier for most to say they’re going to Florida for a c.o nfere
Christopher J. Keller, Esq. Partner Labalon Sucharow LLP 140 Broadway New York, NY 10005 Phone: (2i2) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] wvvw,La bs"::o rL
Please note our new office address.
From; Belfi, Eric J. ~ent: Sunday, November 04, 2007 8:27 PM To; Keller, Christopher 3. Subject: FW: Carribean Meeting
Looks like we are set for the Carribean -we should start getting it organized,
From: Chris D’Amato [mailto:[email protected]] Sent: Saturday, November 03, 2007 10:49 AM To: Belfi, Eric J.; chris D’Amato; Sean King Subject: RE: Carribean Meeting
Eric, I’m glad we were able to get together for hmch yesterday--soW i had to mn oul so fast~ It was good to sit with you gws to both discuss busiuess opportumtieS aud bs a little~ I thil~k the more comfbrtable we are with each other the more successful our relationsl~dp will become. I suggest we speak Monday or %lesd,qy ro confim~ next steps on tim* and update you on outreach in DE, AL ND; and CA.
1’11 put a hold on our schedule for those dates in Janua~-.
Have a great weekend. Speak to you Soon, Cl~s
..... Origilml Message ..... From: Belfi, Eric J. ,EBelfi((Oabaton.com
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017447 Case 1:11-cv-10230-MLW Document 454-10 Filed 08/16/18 Page 2 of 2
To: "Chris D’Amato"
Chiis & Sean:
We were working on dates for our meeting down south (we are working on the location).
Please let me know if you are free from Sunday, Januais.T 13 - Tuesday, JanuaIy 15.
Also, Damon Chargois (the Texas lauyer) is in town next Thursday evening (Nebraska’s night) and we will be going out with him and a State Senator from Arkansas that we work very closely with if you are able to join us.
Sear~ I will send you the information for North Dakota over the weekend.
I received copies of the Chinese Bonds from the prospective client today which I will forward to you later so you can see ff the certificates were manufactured in Nigeria.
Have a good weekend and thank you for lunch.
Regards,
Eric
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017448 Case 1:11-cv-10230-MLW Document 454-11 Filed 08/16/18 Page 1 of 1
Keller, Christopher J. Sent: Tuesday, December 4, 2007 7:19 PM To: Belfi, Eric J.
What’s he going to say???
Christopher Keller Partner Labaton Sucl~qrow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... From: Bcffi, Eric J. To: Keller, Christopher J. Sent: Tue Dec 04 19:10:38 2007 Subject: Texas
Spoke to Damon and he going to Jarvis about the It governor.
Eric J. Belfi Partner Labaton Suclmmw LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
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Keller, Christopher J. Sent: Saturday, December 22, 2007 3:30 PM To: Belfi, Eric J.
Just sitting back and taking it all in now. This is really great news. Excellent work.
..... Origi~ml Message ..... From: Beffi, Eric J. Sent: Friday, December 14, 2007 8:18 AM To: Keller, Chiistoplier J. Subject: Fw: New fimds
FYI.
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsiluile: +1.212.883.7078 ebclfi~!labaton.com www.labaton.com
..... Original Message ..... From: Tim Herron
The senator just called me. He has the l: pension fl~nds lined up in arkansas. He wants copies several, of the information you gave him in ny. Hje gave his only cow to doane. Can you e mail fax or overnight it to me. He plans to get you guys the top five plans in arkansas. He said he will use me a point person be cause it is easier for him.
He said doane will be totally on board shortly. He and I are planning a ~rip to north carolina after the first of the year to work on that state for you guys.
Sent via BlackBerry from Tim Herron
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Keller, ChriStopher J. Sent: Sunday, April 13, 2008 11:25 PM To: Belfi, Eric J.
Right but when is it’? Are we going tobe o~fly one? They have passed 5 in 3
Christopher Keller Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Ph, 212-907-0853
Sent from my BlackBerry Wireless Handheld
..... Original Message ..... From: Belli, Eric J. To: Keller~ Christopher J. Sent: Sun Apt 13 23:23;38 2008 Subject: FW: Arkansas Teachers
FYI.
..... Original Message ..... Froin: tim~!cmhllp.com Sent: Sunday~ April 13; 2008 1106 PM To: Belfi, Eric J. Subject: Re: Arkansas Teachers
The senator called me lasl week and said it was coming up mM our friend has memioned il to him sevemltimes. It is a done deal he says.
Sent via BlackBerry by AT&T
..... Original Message ..... From: "Belfi, Eric J,"
Date: Sun~ 13 Apr 2008 22:39:20 To:
Dear Tim:
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017451 Case 1:11-cv-10230-MLW Document 454-13 Filed 08/16/18 Page 2 of 2
We have been looking for the RFP and have not seen anything - have you heard anything recently?
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, New York 10005 Phone: +1.212.907,0878 Fax: +1.212;883;7078 ebelfi~!labaton.com
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017452 Case 1:11-cv-10230-MLW Document 454-14 Filed 08/16/18 Page 1 of 2
Keller, Christopher J. Sent: Thursday, April 24, 2008 10:55 AM To: Belfi, Eric J.
That’s great don’t get me wrong, I’m just sitting here about to burst if silk gets another case with ark teach. I mean they have moved with them like 10 times in last 4 months and have 6 cases. We will have a toxic waste dmnp client by the time they hire us.
Christopher Keller Panner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853
Sent from my BlackBerry- Wireless Handheld
..... Original Message ..... From: Belfi, Eric J. To: Keller, Christopher J. Seut: Thu Apr 24 11:26:41 2008 Subject: Fw: Arkansas
Eric J. BeN Panner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: + 1.212.883.7078 ebelfi~,labaton.com www.labaton.com
..... Original Message ..... From: Tim Herron
Called senator he will call me back. He assured me thai this was a sure thing but would check on the dates for the RFP
From: Belfi, Eric J. [mi~_i_!.t__o...’__E..B_..e__l..f__i~.!!__a..b___a.[o_..n__...C__Q.__m] Sere: Thursdw, April 24, 2008 5:05 AM To: Tim Hen’on Cc: Keller, Christopher J. Subject: Arkansas
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017453 Case 1:11-cv-10230-MLW Document 454-14 Filed 08/16/18 Page 2 of 2
Tim:
Aibtlfing uew from die Senator on when they are issuing a RFP?
Our understanding is that they may be moving in another case with the other finn.
Eric
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: + 1.212.883.7078 [email protected] www.labaton.com
P Before printing, please think about the environment.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017454 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 1 of 19
Weiss, Sara on behalf of From: Belfi, Eric J. Sent: Friday, Novelnber 7, 2008 10:08 AM To: Belfi, Eric J.
Attached is Labaton Sucharow’s Monthly Report for November ’08. The Report contains the following information:
- Latest developments - "Top Cases" - Settlements Announced in October 2008 - All other pending Settlements
If you have any questions, please feel free to contact me.
Regards,
Eric J. Belfi
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017457 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 2 of 19
The credit crisis and extreme volatility in the markets continue. Even before the high profile collapse of Lehman Brothers and the numerous bailouts occurring on Wall Street, a recent report by the Stanford Law School Securities Class Action Page I Clearinghouse showed an increase in filings for the first half of the year of over 100% for the same period a year ago. Below are some recently filed cases that we would like to highlight.
Page2 A lawsuit was filed against Carter’s and certain officers and directors on September 18, 2008. The complaint alleges that Defendants issued materially false and misleading statements about their ability to turn the operations of acquired company Oshkosh B’Gosh around. se~tlem~t~ Anti 6~ed i~ On July 24, 2007, Carter’s announced that it was taking a large write-down of $142.9 O~Ober 2008 million on the tangible assets/goodwill of its Oshkosh subsidiary. The Carters shares reacted negatively to the news, and fell from $24.87 to $22.75 per share by the end of trading on July 25, 2007, representing an 8.5% decline in value. In total, the shares dropped 66% during the class period from February 21, 2006, to July 24, Page6 2007. Ail Othe~ P~6ding Settleme#ts Fannie Mae
A securities class action complaint has been filed against officers of Federal National Page !! MorLgage Association. The complaint alleges that the Defendants did not disclose Appendix A ~ ( ~eneral Met0rS the Company’s true capital needs, falsely assured the investment public that the Securities Company was well capitalized, and released financial results that misrepresented the financial condition of the Company.
Further, because Fannie Mae is a quasi-governmental enterprise, some investors Page ~2 were told by their full-service brokers that if Fannie Mae defaulted on the preferred App~ndi~B He~iSag~ shares, then the United States government would insure their losses and make them whole. This information, however, was inaccurate. Holders of Fannie Mae preferred a#~i¢iPal BOnds se~uiities shares are not afforded protection or insurance from the federal government.
Several brokerage firms sold various series of Fannie Mae preferred shares, including Page !6 Series Q (NYSE: FNM-PQ), Series R (NYSE: FNM-PR), Series S (NYSE: FNM-PS), and App~ndi~ C ~ Paima!a~ Series T (NYSE: FNM-PT), as safe, stable fixed-income investments. Fannie Mae Securities preferred shares were sold to both retail and institutional accounts looking to generate income. However, many of these clients were not advised of the risks associated with preferred shares. Additionally, several brokers and financial advisors purchased an unsuitable amount of Fannie Mae preferred shares in their clients’ accounts, thereby creating a significant over-concentration in a single security or sector.
As the truth emerged during the class period, it became evident Fannie Mae did not sustain adequate capital levels necessary to continue as a going concern. As a result, federal regulators were forced to seize control of the Company, place the publicly traded entity into a conservatorship, and allow shares to trade at diminutive levels. Over the course of the class period, shareholders lost 98% of their value in Fannie Mae stock - down to $0.73 per share from a class period high of $40 per share.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017458 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 3 of 19
analysis of these "Top Cases" indicates that the claims have merit and therefore represent possible future settlement recoveries for investors. However, investors with significant losses who wish to be involved in the litigation now may do so by moving for lead plaintiff before the deadline listed below.
Federal Na[ional ~or~g~ge Association ~/k/~ F~nnie ~e (FN~) Cusip 313586109 / ISl N US3135861090 Market Capitalization: $818 million / Stock Drop: 89.0% Company failed to disclose its true capital needs as it assured the investment public that it was adequately capitalized, alleged to have overstated its capital base through numerous accounting manipulations - On September 7, 2008, the Treasury seized the Company and placed it into a conservatorship Shareholders lost 98% o{their value Tn Fannie Mae stock Class Period: November 16, 2007 - September 5, 2008 Lead Plainti~ Deadline: November 7, 2008
Harris Stratex Networks, Inc. (HSTX) Cusip 41457P106 / ISIN US41457P1066 Market Capitalization: $431 million / Stock Drop: 34.6% / 34.3% - Company announced that it had discovered accounting errors that will result in restated earnings repoRs {rom 2005 through present, which will result in an estimated restatement o{ $18 million to $25 million over the affected periods - Previous financial statements no longer reliable - Section 11 claims pursuant to the registration statement o{ the merger of Harris Microwave Communications Division and Stratex Networks, Inc. Class Period: January 29, 2007 - July 30, 2008 Lead Plaintiff Deadline: November 14, 2008
Canadian Imperial Bank of Commerce a/Wa CIBC (CM) Cusip 136069101 /ISIN CA1360691010 Market Capitalization: $22.2 ~illion / Stock Drop: 2.0% / 11.2% ...... Company misled investors by falsely representing that its exposure to subprime CDOs was not a major risk issue and failing to accurately describe its total exposure to the U.S. subprime mortgage market - On December 6, 2007, the Company announced that its write-downs have reached $1 billion, and warned of significantly higher losses in the future related to its $9.8 billion in hedged exposure to the subprime mortgage and CDO market - On May 29, 2008, the Company disclosed a second-quarter loss as it took a $2.51 billion loss related to its structured credit activities and analysts said the potential for more write downs looms even though the bank has taken charges totaling approximately $6 billion in the past
Class Period: May 31, 2007 - May 28, 2008 ...... Lead Plaintiff Deadline: November 18, 2008
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017459 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 4 of 19
Carter’s Inc. (CRI) Cusip 146229109 / ISIN US1462291097 Market Capitalization: $1.1 billion / Stock Drop: 8.5% / 24.7% - Company made false & misleading statements about the progress of the integration of its OshKosh B’Gosh subsidiary - Carter’s disclosed in its 2007 Annual Report that is missed the "sweet sport" with OshKosh
on the tangible assets/goodwill of its OshKosh subsidiary - Insiders sold 1.6 million shares during the class period for proceeds of $44.5 million Class Period: February 21, 2006 - July 24, 2007 Lead Plaintiff Deadline: November 18, 2008
Oshkosh Corp. (OSK) Cusip 688239201 / ISIN US6882392011 Market Capitalization: $899.2 million / Stock Drop: 33.5% / 7.15% - Company made false and misleading statements relating to the health of the European refuse collection business prior to a surprising write down, as well as failing to write down this busTness due to TmpaTrment - On June 26, 2008, the Company’s shares plunged 34% following its fiscal 3Q 2008 pre- announcement and accompanying lower sales forecast - The expected loss relates to a non-cash charge ($175 million, or $2.32/share) for the impairment of goodwill to be recorded in connection with the Company’s European refuse collection vehicle manufacturer, the Geesink Norba Group ...... Insider sales: CEO Robert Bohn sold 13% of his shares during the class period Class Period: February 02, 2007 - June 25 2008 Lead Plaintiff Deadline: November 18, 2008
The Spectranetics Corp. (SPNC) Cusip 84760C107 / ISIN US84760C1071 Market Capitalization: $151 million / Stock Drop: 47.4% / 46.9% - Company served with search warrant by the Food and Drug Administration and U.S. Immigration and Customs Enforcement - Wh;atlebl ...... plaint alleged that the Company illegally marketed its products that .... not approved by the FDA and failed to report adverse results of clinical trials - Federal investigation related to use, testing, promotion, and sales of certain products and payments made to medical personnel, as well as compensation packages for certain employees Class Period: March 16, 2007 - September 4, 2008 Lead Plaintiff Deadline: November 24, 2008
Cadence Design Systems (CDNS) Cusip 127387108 / ISIN US1273871087 Market Capitalization: $£08 million / Stock Drop: 25.23% / 19% Company announced restatement of earnings for the first half of 2008 and postponement of third quarter results ...... Preliminary results revealed that the Company had incorrectly recorded $24 million in contract sales in the first quarter yet the revenue should have been recorded over the duration of the contracts starting in the second quarter - On October 15, 2008, four executives, including the CEO, resigned Class Period: April, 23, 2008 - October 22, 2008 Lead Plaintiff Deadline: December 29, 2008
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017460 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 5 of 19
Settlements Announced in October 2008
ClB Marine Bancshares, Inc. CIBH 12542L103 US12542L1035 14-Nov-08 31-Ocl-08 $ 4,418,000.00 21-Jan-O0 12-Apr-04 ::::::::::::::::::::::::::::::::::::::::::::::::::: :.:. :.:.:. :.:.:.~:.~ # f4~ ~ :.:.:.:. :.:.:.:.:.
Vesta Insurance Group, Inc. (Partial Settlement) 1 VTA 925391104 US9253911047 1-Dec-08 17-Nov-08 $ 1,950,000.00 2-Jun-95 1-Jun-98 i:. :.i:. :.i~ ~:.ii~ :.i:.i i:.i:.i
Cardinal Health, Inc. (SEC) 2 CAH 14149Y108 US14149Y1082 23-Dec-08 9-Dec-08 $ 35,000,000.00 24-Oct~0 26-Jul-04
MBIA, Inc. (SEC) MBI 55262C100 US55262C1009 29-Dec-08 15-Dec-08 $ 50,000,001.00 11-Sep-98 22-Nov-04 :::::::::::::::::::::::::::::::::::::::::::::::::::
======02476B~4 US02476BAA44 :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: American Business Financial n/a 024768A82 US024768A827 2-Jan-09 19-Dec-08 ~ ~,7~r,S00.00 18-Jan-02 Services, Inc. (Notes) 20-Jan~5 :::::::::::::::::::::::::::::::::::::::::::::: 02476BAC0 0S02476BAC00 s~ .... ~,t .... tio,~ co~p. SCOR 8r~sra~o~ ussr~sra~o~o 5-a~,-o~ 2=-0~0-08 $ ~5.500.000.00 ~-~-~ 5-No~-02
~:: ::~:: ::~ ~y+ ~ ~::~::~ ~::~::~ Monster Worldwide, Inc. MNST 611742107 US617421072 5-Jan-09 22-Dec-08 $ 47,500,000.00 6-May-05 9-Jun-06 :::::::::::::::::::::::::::::::::::::::::::: (options included)
Xylogics, Inc. (SEC) XLGX 984152108 US9841521084 9-Jan-09 26-Dec-08 $ 1,802,108.42 1-Sep-95 5-Sep-95 ::::::::::::::::::::::::::::::::::::::::
======026874107 US0268741073 40428N109 US40428N1090
026874AN7 US026874AN76 026874AP2 US026874AP25 ::::::::::::::::::::::::::::::::::::::::::::::::: American International Group, AIG 026874AQ0 USO26874AQ08 Inc. (P~ pa~ial settl ...... t) HSB 28~an-09 14-Jan-09 $ 97,500,000.00 28-Oct-99 1-Apt-05 026874AR8 US026874ARS0 (op~io~. i.c~u~e¢ ~eC o2e,7,~se uso2~.7.~sea o2e~r,~, 02687QBB3 US02687QBB32 :::::::::::::::::::::::::::::::::::::::::::::: uo=~r~c: usuo:~r~c~ U02687AB4 USU02687AB48
Greenfield Online Inc. SRVY 395150105 US3951501051 2-Feb-09 19-Jan-09 $ 4,000,000.00 9-Feb-05 29-Sep-05
Lo~l Space & G56462107 BMG564621073 LRLSQ 3-Feb-09 20-Jan-09 $ 3,450,000.00 31-Ju1-02 29-Jun~3 ~:: ::~:: ::~:: ::~ ~ ~ ~ ~ ~ ~ ~ icati ..... Ltd. G56462198 BMG564621982 ~:, :,~:, :,~:, ~ ~ ~ ~ ~ 9 ~ :,~:,~ ~:,~:,~ :,~ ~:,~ ~:,~:,~ ~ ~ ~ ~9~:,~:, :,~:,~:, LaBranche & Co., Inc. LAB 505447102 US5054471025 4-Feb-09 21-Jan-09 $ 13,000,000.00 19-Aug-99 15-Oct-03 :,~:,~:,~:,~:,:,~:,~:,:,~:,~:, ::::::::::::::::::::::::::::::::::::::::::: :::::::::::::::::::::::::: ::::::::::::::::::::::::::::::::::::::: AIIos Therapeutics, Inc. ALTH 019777101 US0197771019 5-Feb-09 22-Jan-09 $ 2,000,000.00 29-May-03 29-Apt-04 :::::::::::::::::::::::::::::::::::::::::::::::
General Molors Corp. ::::::::::::::::::::::::::::::::::::::::::: GM Various Various 6-Mar-09 20-Feb-09 $303,000,000.00 13-Apt-00 30-Mar-06 ::::::::::::::::::::::::::::::::::::::::::::::::::: (options included) 3 ......
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017461 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 6 of 19
5108 108441205 US1084412055 Bridgestone Corporation BGT 21-Apr-09 7-Apr-09 $ 30,000,000.00 30-Mar-0e 31-Aug-00 n/a JP3830800003 BRDCF :.i i:.i i:.;~:.~l~ ~ ~i:.i:. :.i:.i:. 8RO :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: i If you previously submitted a claim form in this action in connection with the prior settlements, you do not have to complete and submit another one.
2 If you have already submitted a claim in the Cardinal Health Securities Litigation, United States District Court for the Southern District of Ohio, you do not need to submit another claim to participate in the SEC Fair Fund distribution. 3 See Appendix A for list of eligible securities
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017462 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 7 of 19
All Other Pending Settlements
Heritage Municipal n/a Various Various 8-Oct-08 ASAP 5,233,970.00 1-Feb-g6 31-Aug-g9 Bonds (SEC) ~
Lumenis, Lid. (options LUME n/a IL0010824782 9-Oct-08 ASAP $ 20,100,000.00 2-Oct-00 included)
First Horizon FHRX 32051 K106 US32051K1060 10-Oct-08 ASAP $ 4,650,000.00 24-Apr-02 Pharmaceutical Corp.
Paincare Holdings, Inc. PRZ 69562E104 US69562E 1047 14-Oct-08 ASAP 2,000,000.00 24-Mar-03 15-Mar-06
Restoration Hardware, RSTO 760981100 US7609811002 14-Oct-08 ASAP Inc. 2
Xerox Corp. ~ XRX Various Various 15-Oct-08 ASAP $750,000,000.00 17-Feb-98 27-Jun-02
Career Education Corporation (options CEC 141665109 US1416651099 17-Oct-08 ASAP 4,900,000.00 22-Apr-02 15-Feb-05 included)
749136107 PR7491361072 749136206 PR7491362062 R&G FinancialCorp. RGFC 749136305 PR7491363052 24-.Oct-08 ASAP 51,000,000.00 21-Jan-03 2-Nov-07 749136404 PR7491364043 74976G206 PR74976G2086
Team Telecom TTI L 25-Oct-08 ASAP International Ltd n/a IL0010823875
U.S. Aulo Parts PRTS 90343C100 US90343C1009 29-Oct-08 ASAP 10,000,000.00 9-Feb-07 20-Mar-07 Network, Inc.
Tommy Hilfiger Corp. TOM 29-Oct-08 ASAP ~6,0oo,00o.0o ~-.ov-99 2~-Sep-0~ G8915Z102 VGG8915Z1027
FARO Technologies, FARO 311642102 US3116421021 30-Oct-08 ASAP 6,875,000.00 15-Apr-04 15-Mar-06 Inc. (options included)
======88033G100 US88033G1004 ======::::::::::::::::::::::::::::::::::::::::::::: 88033GAP5 US88033GAP54 Tenet Heallhcare Corp. 88033CAR1 US88033GAR11 KPMG Settlement THC 30-Oct-08 ASAP 65,000,000.00 15-Au~-00 T-Nov-02 88033GAT7 US88033GAT76 (options included) 4 88033GAV2 US88033GAV23 88033CAW0 US88033GAV~)6
Chiron Corp. CHIR 170040109 US1700401094 1-Nov-08 ASAP
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017463 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 8 of 19
...... | ...... | ...... rJea:l~llne::::::| ...... ~eglen~n~ ...... r"-~]:n~l ...... ~ ......
302088109 US3020881096 302088AB5 US302088AB51 302088AE9 US302088AE90 Exodus 302088AH2 US302088AH22 Communications, Inc. EXDSQ 302088AJ8 US302088AJ87 5-Nov-08 ASAP $ 5,000,000.00 20-Apr-O0 25-Sep-01 (options included) 302088AL3 US302088AL34 302088AN9 XS0121417694 302088AP4 US302088AP48 n/a XS0108551366
52736RAK8 US52736RAK86 Levi Strauss & Co. 5 n/a 52736RAL6 XS0125847508 7-Nov-08 ASAP $ 5,000,000.00 6-Apr-01 16-Jun-03 52736RAN2 US52736RAN26
Merge Technologies, Inc. (Padial Settlement - MRGE 589981109 US5899811096 12-Nov-08 ASAP $ 16,000,000.00 25-Apr-02 3-Jul-06 options included)
BUCA, Inc. 8UCA 117769109 USl177691094 14-Nov-08 ASAP $ 1,600,000.00 6-Feb-01 11-Mar-05 ::ii:i::i::i~::i:ii::i:
PETCO Animal PETC 14-Nov-n8 ASAP $ 20,250,000 nO 18-Nov-04 15-Apr-05 Supplies, Inc. 716016209 US7160162092 ::::::::::::::::::::::::::: /. :.~:.~ ~:. :./.~ The Tube Media Corp. TUBM 17-Nov-08 3-Nov-08 $ 600,000.00 19-Aug-05 21-Nov-06 ::::::::::::::::::::::::::::::::::::::::::::: 898561105 US8985611057 ::::::::::::::::::::::::::: G49398103 BMG493981036 462691AB2 US462691AB29 ::::::::::::::::::::::::::::::::::::::::::::: Iridium World 46268KA19 US46268KAL98 ~ ~:: ::~::~ ~7~:: ::~ ~::~ Communications, Ltd IRID 46268KAK1 US46268KAK16 17-Nov-08 3-Nov-08 $ 43,100,000.00 8-Sep-98 13-May-99 ::::::::::::::::::::::::::::::::::::::::::::::::: (options included) 46268KAJ4 US46268KAJ43 i i:: ::i::i i~ ~ ~ # ~ ~:: ::i i::i 46268KAC9 US46268KAC99 46268KAB1 US46268KAB17 ::::::::::::::::::::::::::::::::::::::::::::: Royal Dutch Petroleum RE) 780257804 US7802578044 :::::::::::::::::::::::::::::::::::::::::::::::::::::: Company/The Shell RD.AS n/a NL0000009470 ...... Transport and Trading 18-Nov-08 4-Nov-08 $ 89,508,000.00 8-Apr-99 18-Mar-04 SC 822703609 US8227036097 :.:.ii:.i:.:.i:.:.~l~]~!!i!ii!!i! Company PLC (eptions :. :.i i:.i:. :.~1:.~ ~ ~ ~ ~:.i i:. :.i:. SHELL n/a GB0008034141 included) ~ ======
RD 780257804 US7802578044 ~: ~:~ ~:~: ~:~: ~ ~ ~ ~ ~:~:~ ~: ~:~: Royal Dutch Petroleum RD.AS n/a NL0000009470 ...... 18-Nov-08 4-Nov-08 $120,000,000.00 8-Apt-99 17-Mar-04 / Shell Transport (SEC) SC 822703609 US8227036097 SHELL n/a GB0008034141
Viseon, Inc. VSNI 19-Nov-08 5-Nov-08 $ 550,000.00 3-Nov-04 15-May-06 928297100 US9282971004 ::::::::::::::::::::::::::::::::::::::: ::::::::::::::::::::::::::: HLIT 413160102 US4131601027 Harmonic Inc. 7 20-Nov-08 6-Nov-08 $ 15,000,000.00 23-Mar-00 26-Jun~0 ~:.~:.:.~:.~ CUBE 125015107 US1250151073
The Coca-Cola :::::::::::::::::::::::::::::::::::::: KO 21-Nov-08 7-Nov-08 $137,500,000.00 21-Oct~9 6-Mar-00 :: ::~ ~::~:: ::~:: ::~ ~ ~:. :.~:.~ ~:. :.~:. Company 191216100 US1912161007
Vitesse Semiconductor 928497106 US9284971069 ::::::::::::::::::::::::::::::::: Corp. (KPMG Partial VTSS 24-Nov-08 10-Nov-08 $ 7,750,000.00 27-Jan-03 27-Apr-06 ~::::~::~::::~:: 928497205 US9284972058 Seltlemenl) 8 ::::::::::::::::::::::::::::::::::::::::::::: 072730302 US0727303028 ~ ~:: ::~::~ ~ ~ ~ ~: :~ ~:~ Bayer AG ~ BAY 25-Nov-08 11-Nov-08 $ 18,500,000.00 4-Aug-00 21-Feb-03 ~::::~::~::~::~::::~::~ 001114506 DE0005752000 ~ ~:: ::~::~ ~#~:: ::~ ~::~
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017464 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 9 of 19
...... | ...... | ...... r~ea:l~lme:::::: | ...... ~egmn~n~ ...... r-~]:n~l ...... ~ ......
Arch Leasing 039387AA1 US039387AA17 Corporation Trust N/A 039387AA2 US039387AA25 26-Nov-08 12-Nov-08 $ 2,100,000.00 19-May-95 l-Jan-01 (Set. 1 Coll. "l’r. Bonds) 039387AA3 US039387AA33
:::::::::::::::::::::::::::::::::::::::::::::::::::::: 589405109 US5894051094 ::::::::::::::::::::::::::::::::::::::::::::: :::::::::::::::::::::::::::::::::::::::::::::::::::::: 589405208 US5894052084 Mercu~ Interactive 589405AA7 US589405AA76 MERQE 29-Nov-08 15-Nov-08 $117,500,000.00 8-Sep-01 3-Jul-06 Corp.(optionsincluded) 589405AB5 US589405AB59 589405AC3 US589405AC33 589405AD1 US589405AD16
Converium Holding CHR 21248N107 US21248N1072 9-Dec-08 25-Nov-08 $ 84,600,000.00 7-Jan-02 2-Sep-04 AG ~0 CHRN n/a CH0012997711
MCSI, Inc. MCSI 11-Dec-08 27-Nov-08 $ 2,250,000.00 24-Jul-01 26-Feb-03 55270M108 US55270M 1080 ======Magma Design 559181102 US5591811022 Automation, Inc. LAVA 559181AA0 US559181AA04 17-Dec-08 3-Dec-08 $ 13,500,000.00 23-Oct-02 12-Apr-05 (options included) 559181AB8 US559181AB86
Wireless Facilities, Inc. WFII 97653A103 US97653A1034 22-Dec-08 8-Dec-08 $ 12,000,000.00 5-May-03 4-Aug-04 (options included)
Wireless Facilities, Inc. WFII 97653A103 US97653A1034 22-Dec-08 8-Dec-08 $ 4,500,000.00 19-Mar-02 12-Mar-07 II (options included)
Nvidia Corporation NVDA 67066G104 US67066G1040 27-Dec-08 13-Dec-08 $ 596,000.00 16-May-00 14-Aug-00 (SEC)
Escala Group, Inc. ESCL 29605W107 US29605W1071 29-Dec-08 15-Dec-08 $ 18,000,000.00 5-Sep-03 8-May-06
Parmalat Finanziaria, PARAF 10,500,000 G.P.A. (ParLial PMLFF Various Various 12-Jan-09 29-Dec-08 5-Jan-99 18-Dec-03 shares Settlment) 11 PRF
G73537410 KYG735374103 G73537402 KYG735374020 Scottish Re Group, Ltd. SCT 24~an-09 10-Jan-09 $ 37,500,000.00 17-Feb-05 20-Feb-07 G7885T104 KYG7885T1040 G73537105 KYG735371059
00202H108 US00202H1086 ::::::::::::::::::::::::::::::::::::::::::::: American :::::::::::::::::::::::::::::::::::::::::::::::::::::: ABBI 00383E106 US00383E1064 ::::::::::::::::::::::::::::::::::::::::::::: Pharmaceutical 29--Jan-09 15-Jan-09 $ 14,300,000.00 27-Nov-05 10-Sep-08 APPX 00383Y102 US00383Y1029 Padners, lnc. 12 02886P109 US02886P1093 ======
Atlas Cold Storage FZRU 049241102 CA0492411024 2-1Viar-09 16-Feb-09 $ 40,000,000.00 1-Mar-02 29-Aug-03 Holdings Inc. (Canada)
Cablevision Systems Corp (Rainbow Media RMG 12686C844 US12686C8441 n/a n/a $ 8,250,000.00 n/a n/a Group) 1~
American Express Financial Advisors, Inc. n/a n/a n/a n/a n/a $ 30,000,000.00 1-Jan-01 31-Aug-04 (SEC) 14
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017465 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 10 of 19
...... | ...... | ...... r~ea:l~ll Be:::::: | ...... ~eglen~n~ ...... r-~]:n~l ...... ~ ......
FLRFX 46127G105 US46127G1058 FIEGX 46127G501 US46127G5018 ISPIX 46127G709 US46127G7097 Invesco Funds (SEC) ~4 n/a n/a $325,000,000.00 1-Jan-01 30-Sep-03 FSFSX 46127J703 US46127J7037 IIBCX 46127X504 US46127X5041 FSFLX 46128W307 US46128W3079
ANAGX 01853W105 US01853W1053 CABDX 018597104 US0185971043 AHHBX 01860E205 US01860E2054 CHCYX 018636407 US0186364073 Alliance Capital APGAX 01877C101 US01877C1018 Management L.P. n/a n/a $250,000,000.00 l-Jan-01 30-Sep-03 QUASX 01877E107 US01877E1073 (SEC) 1~ AGRFX 01877F401 US01877F4019 ALTI=X 018780106 UG0187801065 ADGAX 01879K101 US01879K1016 ABBSX 018914200 US0189142005
AIM Advisors, Inc. / AIM Distributors, Inc. Various Various Various n/a n/a $ 50,000,000.00 1-Jan-01 30-Sep-03 (SEC) 15
Crocus Investment n/a n/a n/a n/a n/a $ 2,850,000.00 n/a n/a Fund (Canada) 16
1 If you submitted a claim form and received a settlement payment in the In re Heritage Bond Litigation, you do not need to do anything further to submit a claim under the
Distribution Plan. Please see Appendix B for a list of eligible securities 2 Class Definition: On behalf of all persons who held Restoration Hardware, Inc. common stock as of the closing of the acquisition of Restoration Hardware by Catter~on Partners
on June 18, 2008 3 Eligible CUSIP numbers in Xerox Settlement: 984121103, 984121AQ6, 984121AU7, 984121AW3, 984121AY9, 984121BE2, 984121AT0, 98412JAF1,98412JAGg,
98412JAK0, 98412JAM6, 98412JAS3, 98412JAY0, 984"12JAZ7, 98412JBA1,98412JBBg, 98412JBC7, 98412JBK9, 98412JBM5, 98412JBN3, 98412JBPS, 98412JBQ6, 98412JBR4, 98412JBS2, 98412JBT0, 98412JBU7, 98412JBW3, 98412JBX1,98412JBY9, 98412JBZ6, 984121BH5 Eligible ISIN numbers in Xerox Settlement: US9841211033, US984121AQ66, US984121AU78, US984121AW35, US984121AYg0, US984121BE28, US984121AT06, US98412JAF12, US98412JAG94, US98412JAK07, US98412JAM62, US98412JAS33, US96412JAY01, US98412JAZ75, US98412JBA16, US98412JBB98, US98412JBC71, US98412JBK97, US98412JBM53, US98412JBN37, US~8412JBP84, US98412JBQ67, US98412JBR41, US98412JBS24, US98412JBT07, US98412JBU79, US98412JBW36, US98412JBX19, US98412JBY91, US98412JBZ66, XS0051643970, XS0058230300, XS0058921551, XS0072175101, XS0118346120, XS0141783844, DE0002914603 4 If you wish to participate in the KPMG Settlement, you will automatically be included if you already submitted a valid Proof of Claim and Release form in connection with the
Tenet Settlement. 5 Class Definition: On behalf of all persons and entities who purchased or othenMse acquired Levi Strauss & Co. 11-5/8% or 12-1/4% registered bonds in the market traceable to
the April 6, 2001 prospectus and registration statement or June 16, 2003 prospectus and registration statement 6 Class Definition: All persons or entities who purchased stock or stock equivalents including ADRs issued by the Royal Dutch Petroleum Company or The Shell Transport and
Trading Company, Shell call options, or Shell put options on a United States exchange or market and/or stock or stock equivalents issed by Shell, Shell call options, or Shell put options on one or more exchanges or markets outside of the United States and, at the time of purchase, were residents or citizens of, or were incorporated in or created unter the laws of the United States (including its states, territories and possessions) 7 Class Definition: all persons and entities who (1) were shareholders of C-Cube, and, as part of the May 3, 2000 merger of Harmonic and C-Cube, exchanged shares of C-Cube
for Harmonic shares that v~re issued pursuant to the Form S-4 Registration Statement and Joint Proxy Statement/Prospectus filed with the Securities and Exchange Commission on March 23, 2000, or (2) on or before June 26, 2000, purchased or otherwise acquired Harmonic shares that are traceable to shares issued pursuant to the Form S-4. 8 If you are a Class Member who previously filed a valid Proof of Claim and Release in connection with the Vitesse Settlement and you do not validly and timely request
exclusion from the KPMG Settlement, you will automatically participate in the KPMG Settlement and need not file an additional Proof of Claim and Release because your previously filed Proof of Claim will be utilized to calculate your claim. 9 Non US purchasers of Bayer AG ordinary shares on Non-US exchanges are precluded from the class
10 Class Definition: On behalf all persons, entities, or legal beneficiaries or participants in any entities who, during the pedod from JanuaEt 7, 2002 through September 2, 2004,
inclusive, (i) were U.S. residents who purchased or otherwise acquired Converium common stock on the SWX and/or (ii) purchased or otherwise acquired Converium ADS on the NYSE, regardless of country of residency. Please be advised that you are not eligible if you are a non-U.S, foreign investor who only purchased shares of Converium Holding AG on the SWX Swiss Exchange. 11 Please see Appendix C for a list of eligible secodfies
12 Class Definition: On behalf of all record or beneficial ewners of common stock of American Pharmaceutical Padners, Inc. on November 27, 2005, and their transferees, successors and assigns, including all persons who, as of the time immediately prior to the consummation of the acquisition of APP Pharmaceuticals, Inc. by Fresenius Kabi on September 10, 2008, owned common shares of Abraxis E~iossience, Inc. or APP.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017466 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 11 of 19
13 Class Definition: On behalf of all record holders and beneficial owners of Rainbow Media Group lracking stock on August 20, 2002. 14 Note: Class Members will not need to file a claim to receive a FAIR Fund distribution. is Eligible CUSIPs for AIM Advisors, Inc. / AIM Distributors, Inc. (SEC): 001413103, 001413301,001413616, 001413657, 001413681,001413749, 001413863, 001413871,
001419506, 00141M408, 00141M572, 00141M705, 00141M770, O0141M812, O0141T577, 00141T643, 00142C300, 00142C433, 00142C565, 00142C706, 008879496, 0088"79850, 008882102, 008882201, 008882300, 008882409, 008882854, 008882888 Eligible ISINs for AIM Advisors, Inc./AIM Distdbulors, Inc. (SEC): US0014131033, US0014133013, US0014136164. US0014136578, US0014136818, US0014137493, US0014138632, US0014138715, US0014195061, US00141M4087, US00141M5720, US00141M7056, US00141M7700, US00141M8120, US00141T5772, US00141T6432, US00142C3007, US00142C4336, US00142C5655, US00142C7065, US0088794963, US0088798501, US0088821022, US0088822012, US0088823002, US0088824091, US0088828548, US0088828886 Class Members will nol need to file a claim to receive a FAIR Fund dislribution 16 To be eligible to receive compensation, it is not necessary for you to take any steps, other lhan make sure that the Administrator has your cor[ect mailing address.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017467 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 12 of 19
Appendix A - General Motors Securities
Eligible Securities in General Motors Corp. Securities Litigation
Common Stock 370442105 US3704421052
Preferred 370442121 US3704421219 7.5 7/1/2044 USD Preferred 370442717 US3704427174 6.25 7/15/2033 USD Preferred 370442725 US3704427257 7.375 5/15/2048 USD Preferred 370442733 US3704427331 5.25 3/6/2032 USD
Preferred 370442741 US3704427414 4.5 3/612032 USD Preferred 370442758 US3704427588 7.25 2/15/2052 USD Preferred 370442766 US3704427661 7.375 10/1/2051 USD Preferred 370442774 US3704427745 7.25 7/15/2041 USD Preferred 370442816 US3704428164 7.25 4/15/2041 USD
Debt 370442AJ4 US370442AJ44 8.8 3/112021 USD Debt 370442AN5 US370442AN55 9.4 7/15/2021 USD
Debt 370442AR6 US370442AR69 7.4 9/1/2025 USD Debt 370442AS4 US370442AS43 7.1 3/15/2006 USD Debt 370442AT2 US370442AT26 7.75 3/15/2036 USD Debt 370442AU9 US370442AU98 7.7 4/15/2016 USD Debt 370442AV7 US370442AV71 8.1 6/15/2024 USD
Debt 370442AX3 US370442AX38 6.25 5/1/2005 USD Debt 370442AY1 US370442AY11 6.375 5/1/2008 USD Debt 370442AZ6 US370442AZ85 6.75 5/1/2028 USD Debt 370442BB0 US370442BB09 7.2 1/15/2011 USD Debt 370442BQ7 US370442BQ77 7.375 5/23/1948 USD
Debt 370442BS3 US370442BS34 7.125 7/15/2013 USD Debt 370442BT1 US370442BT17 8.375 7/15/2033 USD Debt 370442BW4 US370442BW46 8.25 7/15/2023 USD Debt 370448AA0 US370448AA05 6.85 10/15/2008 USD Debt 37045EAG3 US37045EAG35 9.4 7/15/2021 USD
Debt 37045EAS7 US37045EAS72 9.45 11/1/2011 USD Debt 37045GAB9 US37045GAB95 8.95 7/2/2009 USD Debt n/a XS0171908063 8.875 7/10/2023 GBP Debt n/a XS0171922643 8.375 12/7/2015 GBP Debt n/a XS0171942757 7.25 7/3/2013 EUR Debt n/a XS0171943649 8.375 7/5/2033 EUR
Put/Call Options
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017468 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 13 of 19
Appendix B - Heritage Municipal Bonds Securities
Eligible Securities in the Heritage Municipal Bonds SEC Settlement
16753AAA0 US16753AAA07 CHICAGO ILL HEALTH FACS REV 5 7/1/1999 16753AAB8 US16753AAB89 CHICAGO ILL HEALTH FACS REV 5.25 7/1/2000 16753AAC6 US16753AAC62 CHICAGO ILL HEALTH FACS REV 5.5 7/1/2001 16753AAD4 US16753AAD46 CHICAGO ILL HEALTH FACS REV 5.75 7/1/2002 16753AAE2 US16753AAE29 CHICAGO ILL HEALTH FACS REV 6 7/1/2003
16753AAF9 US16753AAF93 CHICAGO ILL HEALTH FACS REV 6.3 7/1/2004 16753AAG7 US16753AAG76 CHICAGO ILL HEALTH FACS REV 6.5 7/1/2005 16753AAH5 US16753AAH59 CHICAGO ILL HEALTH FACS REV 6.7 7/1/2006 16753AAJ1 US16753AAJ16 CHICAGO ILL HEALTH FACS REV 6.875 7/1/2007 16753AAK8 US16753AAK88 CHICAGO ILL HEALTH FACS REV 7 7/1/2008 16753AAL6 US16753AAL61 CHICAGO ILL HEALTH FACS REV 7.1 7/1/2009 16753AAM4 US16753AAM45 CHICAGO ILL HEALTH FACS REV 7.2 7/1/2010 16753AAN2 US16753AAN28 CHICAGO ILL HEALTH FACS REV 7.3 7/1/2011 16753AAP7 US16753AAP75 CHICAGO ILL HEALTH FACS REV 7.375 7/1/2012 16753AAQ5 US16753AAQ58 CHICAGO ILL HEALTH FACS REV 7.625 7/1/2028 16753AAR3 US16753AAR32 CHICAGO ILL HEALTH FACS REV 9 7/1/2001 16753AAS1 US16753AAS15 CHICAGO ILL HEALTH FACS REV 9.75 7/1/2004 16753AAT9 US16753AAT97 CHICAGO ILL HEALTH FACS REV 9.875 7/1/2005 16753AAU6 US16753AAU60 CHICAGO ILL HEALTH FACS REV 10 7/1/2006
236141AA5 US236141AA57 DANFORTH TEX HEALTH FACS CORP 4.75 12/1/1998 236141AB3 US236141AB31 DANFORTH TEX HEALTH FACS COR P 5 12/1/1999 236141AC1 US236141AC14 DANFORTH TEX HEALTH FACS CORP 5.25 12/1/2000 236141AD9 US236141AD96 DANFORTH TEX HEALTH FACS CORP 5.5 12/1/2001
236141AE7 US236141AE79 DANFORTH TEX HEALTH FACS CORP 5.75 12/1/2002 236141AF4 US236141AF45 DANFORTH TEX HEALTH FACS CORP 6 12/1/2003 236141AG2 US236141AG28 DANFORTH TEX HEALTH FACS CORP 6.1 12/1/2004 236141AH0 US236141AH01 DANFORTH TEX HEALTH FACS CORP 6.25 12/1/2005 236141A J6 US236141AJ66 DANFORTH TEX HEALTH FACS CORP 6.5 12/1/2006
236141AK3 US236141AK30 DANFORTH TEX HEALTH FACS CORP 6.75 12/1/2007 236141 ALl US236141AL13 DANFORTH TEX HEALTH FACS CORP 7 12/1/2008 236141AM9 US236141AM95 DANFORTH TEX HEALTH FACS CORP 7.25 12/1/2009 236141AN7 US236141AN78 DANFORTH TEX HEALTH FACS CORP 7.4 12/1/2010 236141AP2 US236141AP27 DANFORTH TEX HEALTH FACS CORP 7.6 12/1/2011 236141AQ0 US236141AQ00 DANFORTH TEX HEALTH FACS CORP 8.125 12/1/2026 236141AR8 US236141AR82 DANFORTH TEX HEALTH FACS CORP 9.25 12/1/2000 236141 AS6 US236141 AS65 DANFORTH TEX HEALTH FACS CORP 9.5 12/1/2004
236141AT4 US236141AT49 DANFORTH TEX HEALTH FACS CORP 5.25 3/1/1999 236141AU1 US236141AU12 DANFORTH TEX HEALTH FACS CORP 5.5 3/1/2000 236141AV9 US236141AV94 DANFORTH TEX HEALTH FACS CORP 5.75 3/1/2001
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017469 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 14 of 19
236141AW7 US236141AW77 DANFORTH TE× HEALTH FACS CORP 6 3/1/2002
236141AX5 US236141AX50 DANFORTH TEX HEALTH FACS CORP 6.2 3/1/2003 236141AY3 US236141AY34 DANFORTH TEX HEALTH FACS CORP 6.4 3/1/2004 236141AZ0 US236141AZ09 DANFORTH TEX HEALTH FACS CORP 6.6 3/1/2005 236141 BA4 US236141BA49 DANFORTH TEX HEALTH FACS CORP 6.75 3/1/2006 236141BB2 US236141BB22 DANFORTH TEX HEALTH FACS CORP 7 3/1/2007
236141BC0 US236141BC05 DANFORTH TEX HEALTH FACS CORP 7.2 3/1/2008 236141 BD8 US236141BD87 DANFORTH TEX HEALTH FACS CORP 7.4 3/1/2009 236141 BE6 US236141 BE60 DANFORTH TEX HEALTH FACS COR P 7.6 3/1/2010 236141 BF3 US236141BF36 DANFORTH TEX HEALTH FACS CORP 7.8 3/1/2011
236141BG1 US236141BG19 DANFORTH TEX HEALTH FACS CORP 8 3/1/2012 236141BH9 US236141BH91 DANFORTH TEX HEALTH FACS CORP 8.25 3/1/2027 236141 B J5 US236141B J57 DANFORTH TEX HEALTH FACS CORP 10 3/1/2001 236141 BK2 US236141BK21 DANFORTH TEX HEALTH FACS COR P 10 3/1/2005 236141BL0 US236141B L04 DANFORTH TEX HEALTH FACS CORP 10 3/1/1999 236141BM8 US236141BM86 DANFORTH TEX HEALTH FACS CORP 10 3/1/2000
236141BN6 US236141BN69 DANFORTH TEX HEALTH FACS CORP 10 3/1/2002 236141 BP1 US236141BP18 DANFORTH TEX HEALTH FACS CORP 10 3/1/2003 236141 BQ9 US236141 BQ90 DANFORTH TEX HEALTH FACS CORP 10 3/1/2004
25041 LAA9 US25041 LAA98 DESERT HOT SPRINGS CALIF PUB 5 8/1/1999 25041 LAB7 US25041 LAB71 DESERT HOT SPRINGS CALIF PUB 5.2 8/1/2000 25041LAC5 US25041LAC54 DESERT HOT SPRINGS CALIF PUB 5.4 8/1/2001 25041 LAE1 US25041 LAE11 DESERT HOT SPRINGS CALIF PUB 5.7 8/1/2003 25041LAF8 US25041LAF85 DESERT HOT SPRINGS CALIF PUB 5.8 8tl/2004 25041 LAG6 US25041 LAG68 DESERT HOT SPRINGS CALIF PUB 5.9 8/1/2005 25041LAH4 US25041LAH42 DESERT HOT SPRINGS CALIF PUB 6 8/1/2006 25041LAJ0 US25041 LAJ08 DESERT HOT SPRINGS CALIF PUB 6.1 8/1/2007 25041LAK7 US25041 LAK70 DESERT HOT SPRINGS CALIF PUB 6.15 8/1/2008 25041LAL5 US25041LAL53 DESERT HOT SPRINGS CALIF PUB 6.2 8tl/2009 25041LAM3 US25041LAM37 DESERT HOT SPRINGS CALIF PUB 6.25 8/1/2010 25041LAN1 US25041 LAN10 DESERT HOT SPRINGS CALI F PUB 6.3 8/1/2011 25041 LAP6 US25041 LAP67 DESERT HOT SPRINGS CALIF PUB 6.35 8/1/2012 25041LAQ4 US25041 LAG41 DESERT HOT SPRINGS CALIF PUB 6.4 8/1/2013 25041LAR2 US25041 LAR24 DESERT HOT SPRINGS CALIF PUB 6.45 8/1/2014 25041LAS0 US25041LAS07 DESERT HOT SPRINGS CALIF PUB 6.5 8/1/2015 25041LAT8 US25041LAT89 DESERT HOT SPRINGS CALIF PUB 6.55 8/1/2016 25041LAU5 US25041LAU52 DESERT HOT SPRINGS CALIF PUB 6.6 8/1/2017 25041LAV3 US25041 LAV36 DESERT NOT SPRINGS CALIF PUB 6 5 811/2Q28
25041LAW1 US25041LAW19 DESERT HOT SPRINGS CALIF PUB 8 8/1/1999 25041 LAX9 US25041 LAX91 DESERT HOT SPRINGS CALIF PUB 8.25 8/1/2000 25041 LAY7 US25041 LAY74 DESERT HOT SPRINGS CALIF PUB 8.5 8/1/2001 25041LAZ4 US25041LAZ40 DESERT HOT SPRINGS CALIF PUB 8.75 8/1/2002 25041LBA8 US25041 LBA89 DESERT HOT SPRINGS CALIF PUB 9 8tl/2003 25041LBB6 US25041LBB62 DESERT HOT SPRINGS CALIF PUB 9.125 8/1/2004
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017470 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 15 of 19
25041LBC4 US25041 LBC46 DESERT HOT SPRINGS CALIF PUB 9.25 8/1/2005
25041LBD2 US25041LBD29 DESERT HOT SPRINGS CALIF PUB 9.375 8/1/2006 25041LBE0 US25041 LBE02 DESERT HOT SPRINGS CALIF PUB 9.5 8/1/2007 25041LBF7 US25041LBF76 DESERT HOT SPRINGS CALIF PUB 9.5 8/1/2008 25041LBG5 US25041LBG59 DESERT HOT SPRINGS CALIF PUB 10 8/1/2017
59283TAA8 US59283TAA88 MEXICO BEACH FLA PUB SVC FACS 6 12/1/1999 59283TAB6 US59283TAB61 MEXICO BEACH FLA PUB SVC FACS 6.25 12/1/2000 59283TAC4 US59283TAC45 MEXICO BEACH FLA PUB SVC FACS 6.5 12/1/2001 59283TAD2 US59283TAD28 MEXICO BEACH FLA PUB SVC FACS 6.75 12/1/2002 59283TAE0 US59283TAE01 MEXICO BEACH FLA PUB SVC FACS 7 12/1/2003 59283TAF7 US59283TAF75 MEXICO BEACH FLA PUB SVC FACS 7.1 12/1/2004 59283TAG5 US59283TAG58 MEXICO BEACH FLA PUB SVC FACS 7.2 12/1/2005 59283TAH3 US59283TAH32 MEXICO BEACH FLA PUB SVC FACS 7.3 12/1/2006 59283TAJ9 US59283TAJ97 MEXICO BEACH FLA PUB SVC FACS 7.4 12/1/2007 59283TAK6 US59283TAK60 MEXICO BEACH FLA PUB SVC FACS 7.5 12/1/2008 59283TAL4 US59283TAL44 MEXICO BEACH FLA PUB SVC FACS 7.6 12/1/2009 59283TAM2 US59283TAM27 MEXICO BEACH FLA PUB SVC FACS 7.7 12/1/2010 59283TAN0 US59283TAN00 MEXICO BEACH FLA PUB SVC FACS 7.8 12/1/2011 59283TAP5 US59283TAP57 MEXICO BEACH FLA PUB SVC FACS 7.9 12/1/2012 59283TAQ3 US59283TAQ31 MEXICO BEACH FLA PUB SVC FACS 8 12/1/2027 59283TAR1 US59283TAR14 MEXICO BEACH FLA PUB SVC FACS 9 12/1/1999 59283TAS9 US59283TAS96 MEXICO BEACH FLA PUB SVC FACS 10 12/1/2005 59283TAT7 US59283TAT79 MEXICO BEACH FLA PUB SVC FACS 10 12/1/2006 59283TAU4 US59283TAU43 MEXICO BEACH FLA PUB SVC FACS 5 12/1/1999 59283TAV2 US59283TAV26 MEXICO BEACH FLA PUB SVC FACS 5.2 12/1/2000 59283TAW0 US59283TAW09 MEXICO BEACH FLA PUB SVC FACS 5.4 12/1/2001 59283TAX8 US59283TAX81 MEXICO BEACH FLA PUB SVC FACS 5.6 12/1/2002 59283TAY6 US59283TAY64 MEXICO BEACH FLA PUB SVC FACS 5.6 12/1/2003 59283TAZ3 US59283TAZ30 MEXICO BEACH FLA PUB SVC FACS 6 12/1/2004 59283TBA7 US59283TBA79 MEXICO BEACH FLA PUB SVC FACS 6.2 12/1/2005 59283TBB5 US59283TBB52 MEXICO BEACH FLA PUB SVC FACS 6.4 12/1/2006 59283TBC3 US59283TBC36 MEXICO BEACH FLA PUB SVC FACS 6.6 12/1/2007 59283TBD1 US59283TBD19 MEXICO BEACH FLA PUB SVC FACS 6.8 12/1/2008 59283TBE9 US59283TBE91 MEXICO BEACH FLA PUB SVC FACS 8 12/1/1999 59283TBF6 US59283TBF66 MEXICO BEACH FLA PUB SVC FACS 8.2 12/1/2000 59283TBG4 US59283TBG40 MEXICO BEACH FLA PUB SVC FACS 8.4 12/1/2001 59283TBH2 US59283TBH23 MEXICO BEACH FLA PUB SVC FACS 8.6 12/1/2002 59283TBJ8 US59283TBJ88 MEXICO BEACH FLA PUB SVC FACS 7 5 12/1/2028
59283TBK5 US59283TBK51 MEXICO BEACH FLA PUB SVC FACS 10 12/1/2012 59283TBN9 US59283TBN90 MEXICO BEACH FLA PUB SVC FACS 9 12/1/2005 59283TBP4 US59283TBP49 MEXICO BEACH FLA PUB SVC FACS 9.4 12/1/2006 59283TBQ2 US59283TBQ22 MEXICO BEACH FLA PUB SVC FACS 9.6 12/1/2007 59283TBR0 US59283TBR05 MEXICO BEACH FLA PUB SVC FACS 9.8 12/1/2008 59283TSV3 MEXICO BEACH FLA PUB SVC FACS
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017471 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 16 of 19
87638LBX7 US87638LBX73 TARRANT CNTY TEX H EALTH FACS 7.75 8/1/2018
87638LCH1 US87638LCH15 TARRANT CNTY TEX HEALTH FACS 6.5 5/1/2004 87638LCJ7 US87638LCJ70 TARRANT CNTY TEX H EALTH FACS 10 5/1/2004 87638LDG2 US87638LDG23 TARRANT CNTY TEX HEALTH FACS 5.25 12/1/2000 87638LDH0 US87638LDH06 TARRANT CNTY TEX HEALTH FACS 5.5 12/1/2001 87638LDJ6 US87638LDJ61 TARRANT CNTY TEX HEALTH FACS 6 12/1/2002
87638LDK3 US87638LDK35 TARRANT CNTY TEX HEALTH FACS 6.1 12/1/2003 87638LDM9 US87638LDMg0 TARRANT CNTY TEX HEALTH FACS 6.3 12/1/2005 87638LDP2 US87638LDP22 TARRANT CNTY TEX HEALTH FACS 6.5 12/1/2007 87638LDQ0 US87638LDQ05 TARRANT CNTY TEX HEALTH FACS 6.6 12/1/2008
87638LDR8 US87638LDR87 TARRANT CNTY TEX HEALTH FACS 6.7 12/1/2009 87638LDS6 US87638LDS60 TARRANT CNTY TEX HEALTH FACS 6.8 12/1/2010 87638LDT4 US87638LDT44 TARRANT CNTY TEX HEALTH FACS 6.9 12/1/2011 87638LDU1 US87638LDU17 TARRANT CNTY TEX HEALTH FACS 7 12/1/2012 87638LDV9 US87638LDV99 TARRANT CNTY TEX HEALTH FACS 7 12/1/2013 87638LDW7 US87638LDW72 TARRANT CNTY TEX HEALTH FACS 7 12/1/2014
87638LDY3 US87638LDY39 TARRANT CNTY TEX HEALTH FACS 7.5 12/1/2028 87638LEA4 US87638LEA44 TARRANT CNTY TEX HEALTH FACS 8.5 12/1/2000 87638LEB2 US87638LEB27 TARRANT CNTY TEX HEALTH FACS 9 12/1/2001 87638LEC0 US87638LEC00 TARRANT CNTY TEX HEALTH FACS 9.25 12/1/2002 87638LED8 US87638LED82 TARRANT CNTY TEX HEALTH FACS 9.5 12/1/2003
87638LEE6 US87638LEE65 TARRANT CNTY TEX HEALTH FACS 9.75 12/1/2004 87638LEF3 US87638LEF31 TARRANT CNTY TEX HEALTH FACS 9.875 12/1/2005 87638LEG1 US87638LEG14 TARRANT CNTY TEX H EALTH FACS 10 12/1/2006 87638LEH9 US87638LEH96 TARRANT CNTY TEX HEALTH FACS 10 12/1/2007
87638LEJ5 US87638LEJ52 TARRANT CNTY TEX H EALTH FACS 10 12/1/2008 87638LEK2 US87638LEK26 TARRANT CNTY TEX HEALTH FACS 10 12/1/2009 87638LEL0 US87638LEL09 TARRANT CNTY TEX H EALTH FACS 10 12/1/2010 87638LEM8 US87638LEM81 TARRANT CNTY TEX HEALTH FACS 10 12/1/2011 87638LEN6 US87638LEN64 TARRANT CNTY TEX HEALTH FACS 10 12/1/2012
87638LEP1 US87638LEP13 TARRANT CNTY TEX H EALTH FACS 10 12/1/2013 87638LFI6 TARRANT CNTY TEX HEALTH FACS 87638LFK1 US87638LFK17 TARRANT CNTY TEX HEALTH FACS 8.25 3tl/2000 87638LFL9 US87638LFL99 TARRANT CNTY TEX HEALTH FACS 8.5 3/1/2001 87638LFM7 US87638LFM72 TARRANT CNTY TEX HEALTH FACS 8.75 3/1/2002
87638LFN5 US87638LFN55 TARRANT CNTY TEX HEALTH FACS 9 3/1/2003 87638LFP0 US87638LFP04 TARRANT CNTY TEX HEALTH FACS 9 3/1/2004 87638LFQ8 US87638LFQ86 TARRANT CNTY TEX HEALTH FACS 9.5 3/1/2005 87638LFR6 US87638LFR69 TARRANT CNTY TEX H EALTH FACS 10 3/1/2009 87638LFU9 US87638LFU98 TARRANT CNTY TEX HEALTH FACS 7.25 3/1/2009
87638LFX3 US87638LFX38 TARRANT CNTY TEX HEALTH FACS 10.25 3/1/2012 87638LFY1 US87638LFY11 TARRANT CNTY TEX HEALTH FACS 7.75 3/1/2029
87638LK41 TARRANT CNTY TEX HEALTH FACS
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017472 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 17 of 19
Appendix C - Parmalat Securities
Eligible Securities in Parmalat Finanziaria, S.p.A. Settlement (10.5 million shares}
Parmalat Securities include any of the securities listed below, as well as any other security issued by Parmalat
IT0003826473 PARMALAT SPA ORDINARY SHARES
BEATRICE FOODS: PARMALAT 073913AB1 US073913AB18 FINANZIARIA
DAIRY HOLDINGS LTD.
G3616#AB FOOD HOLDING LTD
P7631ZAG XS0073339433 PARMALAT BRASIL ADMINISTRACAO NTS
STRLJCTURED NOTE: 9.125% TO 70175KD20 XS0072522690 PARMALAT BRAZIL PARFINO Jan 2000 then 9.75%
70175L... KYG693264064 PARMALAT CAPITAL FINANCE Issue, 9.375%, Perpetual, Par 1.01 70175L204 KYG693264074 PARMALAT CAPITAL FINANCE Floating
70175L303 KYG693264084 PARMALAT CAPITAL FINANCE Floating 144A Issue, 9.375%, Perpetual, Par 70175L402 US70175L4023 PARMALAT CAPITAL FINANCE 1.00
G6932NAB XS0089553365 PARMALAT CAPITAL FINANCE LTD NTS. SENIOR
N6863MAA XS0084903847 PARMALAT CAPITAL NETHERLANDS BV 1% 1998-21.12.05 CONV. SENIOR
C7196#AA PARMALAT DAIRY 8, BAKERY INC. C7196#AB PARMALAT DAIRY 8, BAKERY INC. C7196#AC PARMALAT DAIRY 8, BAKERY INC. C7196#AD PARMALAT DAIRY 8, BAKERY INC. C7196#AE PARMALAT DAIRY 8, BAKERY INC. C7196#AF PARMALAT DAIRY & BAKERY INC. C7196#AG PARMALAT DAIRY 8, BAKERY INC. C7196#AH PARMALAT DAIRY 8, BAKERY INC. C7196#AL PARMALAT DAIRY & BAKERY INC. C7196#AM PARMALAT DAIRY & BAKERY INC.
9999VF551 XS013557934~ PARMALAT FINANCE CORP BV 9999VN711 XS0170717184 PARMALAT FINANCE CORP BV QUARTERLY EUROBO+305BP 4.25% TO 8t01 0.95* 10 YR CMS 9999VND97 XS0100135770 PARMALAT FINANCE CORP BV Rate Thereafter 9999VSMY1 XS0171287872 PARMALAT FINANCE CORP BV 9999XQ4K3 XS0171288177 PARMALAT FINANCE CORP BV N6863#AA XS0110650586 PARMALAT FINANCE CORP BV 3.65 % EURO NOTE
N6863#AB PARMALAT FINANCE CORP BV
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017473 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 18 of 19
N6863JAC XS0083921881 PARMALAT FINANCE CORP BV NTS
N6863JAD XS0085752748 PARMALAT FINANCE CORP BV (NO MIN.) NOTES FLOATING RATE N6863JAF XS0098549164 PARMALAT FINANCE CORP BV NTS. TRANCHE 1 N6863JAG XS0098549677 PARMALAT FINANCE CORP BV NTS TRANCHE 2 VAR RATE
N6863JAJ XS0100837458 PARMALAT FINANCE CORP BV NTS. TRANCHE 2 6 1/4 % EURO MEDIUM-TERM N6863JAM XS0108693077 PARMALAT FINANCE CORP BV NOTES 2000-7.2.05 TRANCHE
N6863JAP XS0123321068 PARMALAT FINANCE CORP BV 6 % NOTES 2001-6.2.06 N6863JAQ XS0106583577 PARMALAT FINANCE CORP BV 6 1/4 % NOTES 2000-7.2.05 N6863JAR XS0111622402 PARMALAT FINANCE CORP BV NTS N6863YAA XS0118659688 PARMALAT FINANCE CORP BV 7 % NOTES 2000-23.10.07 N6863YAB XS0125198423 PARMALAT FINANCE CORP BV 6.8 % EURO MEDIUM-TERM N6863YAC XS0132599175 PARMALAT FINANCE CORP BV NOTES 2001-25.7.08 5 7/8 % NOTES 2002-18.1.07 N6863YAE XS0140751941 PARMALAT FINANCE CORP BV SENIOR 5 7/8 % NOTES 2002-18.1.07 N6863YAG XS0143261542 PARMALAT FINANCE CORP BV SENIOR TRANCHE 2 6 1/8 % EURO MEDIUM-TERM N6863YAL XS0176831013 PARMALAT FINANCE CORP BV NOTES 2003-29.9.10 SENIOR 5 1/4 % EURO MEDIUM-TERM N6864YAH XS0156987058 PARMALAT FINANCE CORP BV NOTES 2002-13.12.04 N686JAE XS0095639620 PARMALAT FINANCE CORP BV NTS.
903993PZ0 GB0054047484 PARMALAT FINANZIARIA SPA T7439KAD IT0000960044 PARMALAT FINANZIARIA SPA BDS
T7439QAA IT0001157202 PARMALAT FINANZIARIA SPA MILANO NTS
N6863RAA XS0124248922 PARMALAT NETHERLANDS BV 7/8 % NOTES 2001-30.6.21 CONV.
N7017#AF PARMALAT N ETH ERLANDS BV N7017*AB PARMALAT NETHERLANDS BV N7017*AD PARMALAT NETHERLANDS BV
PARMALAT PART. DO BRAZIL LIMITADA
T7017#AA PARMALAT S P A
PARMALAT 8.P.A. (FOOD HOLDINGS) G3616#AA SERIES A
0 % NOTES 2002-12.12.22 CONV. L7528810 XS0158370121 PARMALAT SOPARFI SA LUXEMBOURG SENIOR 6 1/8 % NOTES 2002-23.5.32 L75288AA XS0146388656 PARMALAT SOPARFI SA LUXEMBOURG CONV. SUBORD. REG-S
PARMALAT TR II FIRST
90348#AA PARMALAT TR II SECOND
70176#AA PARMALAT TR III 90348#AB PARMALAT TR III
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017474 Case 1:11-cv-10230-MLW Document 454-15 Filed 08/16/18 Page 19 of 19
90356#AB USPP 2001 TRUST 90356#AC USPP 2001 TRUST
90356#AA USPP 2002 TRUST
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017475 Case 1:11-cv-10230-MLW Document 454-16 Filed 08/16/18 Page 1 of 3
Keller, Christopher J. Sent: Monday, December 15, 2008 3:12 PM To: Stroock, Naomi
we will have other amom~ts to pay him mM can deduct then
Christopher J. Keller, Esq. Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www.Labaton.com
..... Original Message ..... From: Stmock, Naomi Sent: Monday, December 15, 2008 12:13 PM To: Keller, Clmstopher J. Cc: Ng, Cindy Subject: Overpayment on Garrett Payment forl:
We missed this and did not deduct $10,000 from the payment made to Garrett for1. Do we owe them anything in the fi~ture from which we can deduct the $10k or can we ask them to return the $10,000?
..... Original Message ..... From: Keller, Christopher J. Sent: Tuesday, July 29, 2008 12:29 PM To: Ng, Cindy; Belfi, Eric J. Cc: Chan, Cindy; Lee, Kim; Stroock, Naomi Subject: RE: Garrett wiring
I approve, and next payment to Garrett will be cut by 10,000.
Christopher J. Keller, Esq. Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected]
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017476 Case 1:11-cv-10230-MLW Document 454-16 Filed 08/16/18 Page 2 of 3
www.Labaton.com
..... Original Message ..... From: Ng, Cindy Sent: Tuesday, July 29, 2008 12:28 PM To: Bclfi, Eric J. Cc: Chan, Cindy; Keller, Christopher J.; Lee, Kim; Stroock, Naomi Subject: RE: Garrett wiring
We only reserved $150,000 for local counsel. The fee calculation to Garrett was base on $150,000, which means we overpay them by $10,000. Should Garrett return $10,000 or perhaps we can deduct this amount from furore cases? In addition, we will need to transfer $50,000 from our legular account to IOLA accom~t in order to seud the wire to Chargois & Herron. Please approve.
..... Original Message ..... From: Belfi, Eric J. Sent: Tuesday, Jtdy 29, 2008 12:01 PM To: Clmn, Cindy Cc: Ng, Cindy Subject: Re: Garrett wiring
$200,000.
Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: + 1.212.883.7078 ebclfi~,labaton.com www.labaton.coln
..... Original Message ..... From: Chan, Cindy To: Belfi, Eric J. Cc: Ng, Cindy Sent: Tue Jul 29 11:11:43 2008 Subject: RE: Garrett wiring
Hi Enc,
We have the wiring ixffo froln Nicole but how much did Dalnon agree to?
..... Original Message ..... From: Belfi, Eric J. Sere: Friday, July 25, 2008 11:47 AM To: Zeiss, Nicole; Chart, Cindy; Keller, Christopher J. Subject: Re: Garrett wiring
I am trying to track down Damon.
Eric J. Belfi Partner Labaton Sucharow LLP
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017477 Case 1:11-cv-10230-MLW Document 454-16 Filed 08/16/18 Page 3 of 3
140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
..... Original Message ..... From: Zeiss, Nicole To: Chart, Ciudy; Keller, Clmstopher J.; Belfi, Eric J. Sent: Fri Jul 25 11:32:21 2008 Subject: Garrett wiring
Do you have his wiring instructions on file? Should Damon chargois get a check or wire? This is for~.
Sent from my BlackBerry Wireless Handheld
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017478 Case 1:11-cv-10230-MLW Document 454-17 Filed 08/16/18 Page 1 of 3
Keller, Christopher J. Sent: Saturday, February 21, 2009 2:51 AM To: ’[email protected]’; Belfi, Eric J.
Damon, sorry for the delay. I’m buried. We are fine with the terms you propose. One point of clarification, the 20% fee you earn should be on what labaton earns (which is total fee awarded less local, or if there is a split with another firm). If you have lilne feel free to draft, but i1ol necessary since I will get to it next week.
Looking forward to some tropical business development.
Be well.
Chris
Christopiter Keller, Esq. Labaton Sncharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853
Sent from my BlackBeny Wireless Handlield
..... Original Message ..... From: Damon Chargois
Guys, do I need to draft letter agreement? I don’t mind bc I want to get this off of my todo list. Eric, to address Clms’s concern about judges slashing fees, we can add a provision that says CMH’s interest falls to 10% if the judge awards a gross attorney fee tl~nt falls below 15%. Let me know, boys.
From: Elaine Doyal Sent: Thursday, February 19, 2009 11:32 AM To: Damon Chargois Subject: Eric Beffi
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017479 Case 1:11-cv-10230-MLW Document 454-17 Filed 08/16/18 Page 2 of 3
From: Damon Chargois Sent: Wednesday-, Februau 11, 2009 10:27 AM To: Belfi, Eric J.; ckeller@labaton, c0m Cc; Elaine Doyal Subject: RE: We are at the pool bar
Great seeing you again. Eric m~l Clms. Eric, you told me that Chris is working on an agreement in writing, so I am including lfim on this email. I don’t know how formal you guys want to be with tlfis, but you have probably noticed that I am pretty informal and rely more on our mutual trust and respect for each other to can5~ the day. That said, I think R!s important for us to lay out our understm~ding of our agreement with respect to the gafl~ering of pension fund business.
We have agreed that Chargois & Hm,on, LLP, shall receive 20% of the gross attorney fees recovered by Labaton Sucharow on aW litigation or claims process bmugh| on behaff of the Arkansas Teachers’ Reiirement Pension Fund We have also agreed to the same payment terms shall apply to any other pension fund or retirement fund representation that Labaton Suchamw obtains via contacts through Chargois & Herron, LLP. This includes introductions to funds in Atlanta, Richmond and Georgia via Frank Stout, in addition to Charg0is & Herron, LLP (CMH), and CMH’s Contacts.
Eric, much earlier you and I had agreed that ClVIH would receive 10% of gross attorney fees received by Labaton for aw pension fuud business that came by way of contacts through Bailey, Bailey & Perrin. Wltile I i~fitially pul you guy s together, in addition to getting us an audience with poppa Bailey, I haven’t kept up with what you are doing with that firm, My experience with tJ~at finn is that they would like to make and keep as much of the fees generated thiough their contacts as possible. Please advise me on whether m~r deal with you is creating an issue.
From: Beffi; Eric L Sent: Tuesday, Febma15, 10i 2009 12:28 PM To: aee@hgk tom; Damon Chargois Subject: We areat the pool bar
Eric J, Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907,0878 Facsimile: +1.212,883.7078 [email protected] www.labaton.conl
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017480 Case 1:11-cv-10230-MLW Document 454-17 Filed 08/16/18 Page 3 of 3
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017481 Case 1:11-cv-10230-MLW Document 454-18 Filed 08/16/18 Page 1 of 3
Keller, Christopher J. Sent: Saturday, April 4, 2009 5:07 AM To: Belfi, Eric J.
Great
Christopher Keller, Esq. Labalon Sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853
Sent from my- BlackBerry- Wireless Handheld
..... Original Message ..... From: Belfi, Eric J. To: [email protected]
From: George Hopkins Sent: Friday, April 03, 2009 11:16 PM To: Bclfi, Eric J. Subject: Re: Colonial BancGroup
I gave it to Christa yesterday. You may call her to ensure you get it. I tlunk she was t~yiug to find a copy of the complaint to ensure she could certify she read the complaint. Ghop
Seut via BlackBeny by AT&T
From: "Bclfi, Eric J." Date: Fri, 3 Apr 2009 23:08:02 -0400 To:
Dear George:
I do not believe that I mentioned 1o you in our call lllat we need to file lhe papers on Tuesday, April 7 so if you could have the certification signed on Monday that would be great appreciated.
Thank you and have ,q good weekend.
Best regards,
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017482 Case 1:11-cv-10230-MLW Document 454-18 Filed 08/16/18 Page 2 of 3
Eric
Eric J. Belfi Partner Labaton Sucl~arow LLP 140 Broadway
New York, New York 10005 Phone: +1.212.907.0878 Fax: +1.212.883.7078 ebelfi~,labaton.com www.labaton.com <.h~p..:!./W...w....w.: !..a..b...at. 9.!!..q 9.!!g>
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From: Belfi, Eric J. Sent: Monday, March 30, 2009 11:47 PM To: [email protected] Cc: Ching, Natalie Subject: Colonial BancGroup
Dear George:
I have attached our case report on Colonial BancGroup.
We look forward to the opportunity of representing Arkansas Teachers Retirement System.
As we discussed on the phone, we are have been retained by the ~ and they are agreeable to making a joint motion.
Ill order for us to inake tile motion on behalf of ATRS, please sign tile attached certification and have it scalmed aud elnailed back to us.
ff you have ally questions, do not hesitate to coutact ine.
Best regards,
Eric
From: George Hopkins [~~rs_:go~y] Sent: Monday, March 30, 2009 1:17 PM To: Belfi, Eric J. Subject: Re: Call
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017483 Case 1:11-cv-10230-MLW Document 454-18 Filed 08/16/18 Page 3 of 3
I have since decided to agree to go on this matter. Did you get that information. Ghop
Sent via BlackBerry by AT&T
From: "Belfi, Eric J." Date: Mon, 30 Mar 2009 13:05:08 -0400 To:
Dear George:
Thank you for taking the time to speak with Natalie and I last week.
I wanted to provide you with my contact inforrmltion.
I know tlmt we had discussed meeting at die end of April/early May and I wanled to advise you flint I will be at a coifference in Littlc Rock from May- 5 to 7 so it would bc idcal if wc could mcct thcn.
I hope tlfings are going well for you with the legislature.
Best regards,
Eric
Eric J. BeN Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: + 1.212.883.7078 eb elfi,~,lab aton. co m www.labaton.com
P Please consider the enviromnent before printing tlus email.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017484 Case 1:11-cv-10230-MLW Document 454-19 Filed 08/16/18 Page 1 of 1
Keller, ChriStopher J. Sent: Thursday, April 9, 2009 6:48 PM To: =SMTP:[email protected]; Belfi, Eric J.
Very well done indeed. !f I may, I will add some of the usual stuff we have in our agreements and see if you can live with it.
Christopher J. Keller, Esq. Partner Labaton SucharoW LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected]
From: Damon Chargois [mailto:[email protected]] Sent: Thursday, A~)ril 09, 2009 11:33 AN To: Belfi, Eric J.; Keller, Christopher J. Cc-’ Elaine Doyal; Jeni Farrish Subject: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09
Okay boys. Take a gander and sign if it meets with your approva Eric, pursuant to our discussion following our business development summit in February, I inserted an attorney fee reductio~ statement that says CMH only gets 10% of the gross attorney fee if a judge awards less than 15% gross attorney fee to Labaton in cases where the total class award is $25,000,000 or less Even though the attached letter agreement is perfectly wdtten. please make whatever changes you think appropriate and send back.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017485 Case 1:11-cv-10230-MLW Document 454-20 Filed 08/16/18 Page 1 of 3
From: Damon Chargois
Cc: Elaine Doyal
Okay boys. Take a gander and sign if it meets with your approval. Eric, pursuant to our discussion following our business development summit in February, I inserted an attorney fee reduction statement that says CMH only gets 10% of the gross attorney fee if a judge awards less than 15% gross attorney fee to Labaton in cases where the total class award is $25,000,000 or less. Even though the attached letter agreement is perfectly written, please make whatever changes you think appropriate and send back.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017486 Case 1:11-cv-10230-MLW Document 454-20 Filed 08/16/18 Page 2 of 3
CHARGOIS & HERRON, LL,P. Al"robkx~E~s A’l’ LAw
2201 Timberloch Place Suite 1 i0 The Woodlands, Texas 77380
Damon Chargois* Toll Free: 1.866. 444,0604 Timothy P. Herron Texas Telephone: 281 444~116114 Che’ Williamson, LL~, Ph~D~ * FacSimile: 281 440-0124 Kamran Mashayekh ~ Kirk A. Chargois~ Carlos & Fernandez~ **I iceased in Arkansas & Texas *Licensed in Texas
April 7, 2009
Eric J, Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New York, NY 10005
RE: Institutional Investor Business Development Agreement
Dear Eric and Chris:
I hope you guys are doing well up there. Below is my attempt to put our ongoing business relationship in writing.
This letter is to formalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retkement fund representation, or any other institutional investor representation, brought or introduced to Labaton, Sucharow~ LLP (Labaton), via the activities or connections or" members of Chargois, Mashayekh & Herron, LLP, or its agents, assigns, personal relations, or contacts (CMH)~
To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pensioffretirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to funds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chargois & Herron, LLP and Chargois, Mashayekh & Herron, LLP’s contacts or relations going forwar&
1 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017487 Case 1:11-cv-10230-MLW Document 454-20 Filed 08/16/18 Page 3 of 3
REDUCED ATTORNEY FEE PROVISION. In the event the judge awards a gross attorney fee to Labaton that falls below fifteen percent (15%) of an overall plaintiff class award totaling $25 million or less, CN~-I’s interest will fall to ten percent (10%) of the gross attorney fee award.
Texas law applies to the interpretation of this agreement and any dispute arising from express or implied terms contained herein. We agree to exercise good faith and l-easonable means in an effort to resolve any dispute arising out of this agreement without court intervention. If such effort fails, the parties consent to venue and jurisdiction in state court, Galveston County, Texas.
Thank you for your attention to this matter. If you have any questions, please do not hesitate to contact me.
Damon J. Chargois, Chargois, Mashayekh & Herron, LLP
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucharow, LLP
2 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017488 Case 1:11-cv-10230-MLW Document 454-21 Filed 08/16/18 Page 1 of 2
Belfi, Eric J. Sent: Monday; May 17, 2010 10:32 AM To: [email protected]; ’damon@cmhllp,com’ Subject: FW: Follow up
This is one~ now we need Gokhnan.
..... Original Message ..... From: George Hopkins Sent: Sunday, May 16, 2010 3;51 PM To: Brad Beckworth Cc: Belfi, Eric J.; ATRS Laura Gilson Subject: Re: Follow np
I think this is a great pkm with a great team. Ghop ..... Original Message ...... From: Brad Beckwcorth To: Ghop Cc: Eric J. Belfi Cc: ATRS Laura Gilson Co: Ghop Subject: Re: Follow up Sent: May 16, 2010 2:37 PIvl
Thanks Ge0rge.
Eric and I talked and we are willin~ l~ work togett~er. We will ge! file papers prepared and be in touct~.
Have a nice rest of the weekend.
Brad Beckworth Nix~ Patterson & Roach LLP 205 Linck~ Drive Daingeffield, Texas 75638 (903) 645-7333
On May 15, 2010~ at 9:33 AM, "George Hopkins"
I fl}i{~k the decision is so close lha:t I cmmot make a choice between NP and Labaton. The strengths of both filanS vary and the combined firms has greal coverage of all concerns. So I trove decided to ask the txvo firms to seek a joint filing on behalf of ATRS. I have added both contacts by this cmail. Let mc know if each of you arc willing to work with Ihe other. Ghop ...... Original Message ...... Fmln: Brad Beckworth To: Ghop Subjectl Follow up Sent: May 15, 2010 9:23 AM
Hi George~
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017506 Case 1:11-cv-10230-MLW Document 454-21 Filed 08/16/18 Page 2 of 2
It was good seeing you Wednesday. I know you had a busy day and appreciate you taking time out for ns. I wanted to follow up and see where things stand regarding Hartford. We are a couple weeks out on the lead plaintiff deadline, so I want to make sure we are ready. I am available to talk this weekend if you’d like (903-235-7709) .... 1 didn’t wan! to call a~d bother you on a weekend.
Otherwise, I will t.ry you Monday.
Take care, Brad
Brad Beclcc~-orth Nix, Patterson & Roach LLP 205 Linda Drive Daingerfield, Texas 75638 (903) 645-7333
ATRS Executive Director
ATRS Executive Director
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017507 Case 1:11-cv-10230-MLW Document 454-22 Filed 08/16/18 Page 1 of 2
/o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative From: Group/cn=Recipients/cn=belfie Sent: Friday, February 14, 2014 6:33 PM To: ’Keller, Christopher J.’
I will reach out to Damon.
From: Keller, Christopher J. Sent: Friday, February 14, 2014 5:02 PM To: Belfi, Eric J. Subject: RE: BP: Local Counsel for Complaint
Given how many states we are filing with, there can’t be any screw ups. If you’re comfortable with Damon, then I am too.
Christopher J. Keller Partner I Labaton Sucharow LLP 140 Broadway, 34th FI New York, NY 10005 Ph. 212-907-0853~@
From: Belfi, Eric J. Sent: Friday, February 14, 2014 3:02 PM To: Keller, Christopher J. Subject: RE: BP: Local Counsel for Complaint
He said he relationship with Ellison (Judge in the case) is sort of good. He said that he has not spent a lot of time in front of him. Since Arkansas is filing, we will owe him something and this will be a tight mar~n case so maybe he could do the local cheaply. Also, we are likely doing a lot of Following in this case. Do you have someone else in mind?
From: Keller, Christopher J. Sent: Friday, February 14, 2014 2:28 PM To: Belfi, Eric J. Subject: Re: BP: Local Counsel for Complaint
Does he really have the pull he claims? Is he set up for this?
Christopher Keller Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 212-907-0853~i
On Feb 14, 2014, at 2:05 PM, "Belfi, Eric J."
What do you think about using Damon?
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17568 Case 1:11-cv-10230-MLW Document 454-22 Filed 08/16/18 Page 2 of 2
From: Belz, Matthew Sent: Friday, February 14, 2014 1:53 PM To: Belfi, Eric J. Cc: Hoffman, Thomas G. Subject: BP: Local Counsel for Complaint
Eric,
We will probably need to file the complaint with local counsel in the Houston division of the S.D. Tex., where the MDL is pending. Can you recommend local counsel there? If not, I am happy to email the firm for recommendations.
Thanks,
Matt
Matthew R. Belz Labaton Sucharow LLP 140 Broadway New York, NY 10005 (212) 907-0858~:~i~! [email protected]
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17569 Case 1:11-cv-10230-MLW Document 454-23 Filed 08/16/18 Page 1 of 3
Message
From: Keller, Christopher J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GRO U P/CN=RECIPIE NTS/CN =KELLERC]
Se nt: 10/9/2015 2:35:46 PM
To: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW!OU=First Administrative Group/cn=Recipients/cn=belfie]
Subject: Fwd: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09
Attach ments: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09.doc; ATT00001..htm
Christopher Keller Partner 11 Labaton Sucharow LLP 140 Broadway New York, NY 10005 212-907-0853
Begin forwarded message: From: Damon Chargois
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17580 Case 1:11-cv-10230-MLW Document 454-23 Filed 08/16/18 Page 2 of 3
CHARGOIS & HERRON, L.L.P. ATTORNEYS AT LAW
2201 Titnberloch Place Suite 110 The Woodlands, Texas 77380
Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, L.L.M, Ph.D~ ~ Facsimile: 281 441}-0124 Kamran Mashayekh* Kirk A. Chargois~ Carlos A. Fernandez~ **Licensed in Arkansas & Texas *Licensed in Texas
April 7, 2009
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New’ York, NY 10005
RE: Institutional Investor Business Development Agreement
Dear Eric and Chris:
I hope you guys are doing well up there. Below is my attempt to put our ongoing business relationship in writing.
This letter is to formalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation, brought or introduced to Labaton, Sucharow, LLP (Labaton), via the activities or connections of members of Chargois, Mashayekh & Herron, LLP, or its agents, assigns, personal relations, or contacts (CIVIIt).
To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to funds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chargois & Herron, LLP and Chargois, Mashayekh & Herron, LLP’s contacts or relations going forward
1 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17581 Case 1:11-cv-10230-MLW Document 454-23 Filed 08/16/18 Page 3 of 3
REDUCED ATTORNEY FEE PROVISION. In the event the judge awards a gross attorney fee to Labaton that falls belo~v t]t~een percent (15%) of an overall plaintiff class award totaling $25 million or less, CMH’s interest will fall to ten percent (10%) of the gross attorney fee award.
Texas law applies to the interpretation of this agreement and any dispute arising from express or implied terms contained herein. We agree to exercise good faith and reasonable means in an effort to resolve any dispute arising out of this agreement without court intervention. If such effort fails, the parties consent to venue and jurisdiction in state court, Galveston County, Texas.
Thank you for your attention to this matter. If you have any questions, please do not hesitate to contact me.
Damon J. Chargois, Chargois, Mashayekh & Herron, LLP
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucharow, LLP
2 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17582 Case 1:11-cv-10230-MLW Document 454-24 Filed 08/16/18 Page 1 of 3
Message
From: Keller, Christopher J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GRO U P/CN=RECIPIE NTS/CN =KELLERC]
Se nt: 10/9/2015 2:39:01 PM
To: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW!OU=First Administrative Group/cn=Recipients/cn=belfie]
Subject: Fwd: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09 (3)
Attach ments: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09 (3).doc; ATTO0001..htm
Here was my return draft. Importantly I changed the venue for any dispute to arbitration in Texas or New York. So at least we’re out of court.
Christopher Keller Partner II Labaton Sucharow LLP 140 Broadway
New York, NY 10005 212-907-0853
Begin forwarded message: From: "Keller, Christopher J."
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17585 Case 1:11-cv-10230-MLW Document 454-24 Filed 08/16/18 Page 2 of 3
CHARGOIS & HERRON, L.L.P. ATTORNEYS AT LAW
2201 Titnberloch Place Suite 110 The Woodlands, Texas 77380
Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, L.L.M, Ph.D~ ~ Facsimile: 281 441}-0124 Kamran Mashayekh* Kirk A. Chargois~ Carlos A. Fernandez~ **Licensed in Arkansas & Texas *Licensed in Texas
April 7, 2009
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New’ York, NY 10005
RE: Institutional Investor Business Development Agreement
Dear Eric and Chris:
I hope you guys are doing well up there. Below is my attempt to put our ongoing business relationship in writing.
This letter is to formalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation ("Clients"), brought or introduced to Labaton, Sucharow, LLP (Labaton), via the activities or connections of members of Chargois, Mashayekh & Herron, LLP, or its agents, assigns, personal relations, or contacts (ClVIIt).
To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as ~vell as introductions to funds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chargois & Herron, LLP and Chargois, Mashayekh & Herron, LLP’s contacts or relations going forward.
1 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17586 Case 1:11-cv-10230-MLW Document 454-24 Filed 08/16/18 Page 3 of 3
In instances where Clients introduced by CMH se,w-e as sole lead plaintiff or sole class representative, CMH will receive the full 20% fee (the "Fee"). I Iowever, there may be instances where one or more clients may be represented by Labaton Sucharow in a particular case and a fee may be owed to other associating counsel. In that event, the amount of the Fee may be reduced commensurate with the contributory losses of the several clients represented by 1,abaton Sucharo~v. For instance, if Labaton Sucharow files a motion t-or the appointment of lead plaintiffwith two clients with associating counsel (including a CMH client) with losses totaling $1.5 million, and the CMH client has losses of $1,000,000, then CMH shall receive a Fee of 2/3 of 20%, or 13.35%. Any such arrangement, however, shall be disclosed and agreed to at the inception of the case or at such later date if the need for additional or substitute clients later arises. Labaton Sucharow and CMH are free to discuss other methodologies for an allocation of the Fee under the nmltiple lead-plaintiff scenario at their mutual discretion.
In the event the judge awards a gross attorney fee to Labaton that falls below fifteen percent (115%) of an overall plaintiff class award totaling $25 million or less, CIVIH’s Fee will fall to ten percent (10%).
It is agre, ed that CMH will not bare any costs, expenses or payments of any kind whatsoever in rclatio,a to the examination or investigation of a potential cause of action, the litigation of the action or any other related costs, expenses or payments.
The parties hereto expressly understand and agree that information exchanged be~,veen the firms may contain confidential information, such as client lists, l~rm strategies, litigation strategies and other sensitive informalion cons~ilutes confidenlial and/or privileged informalxon. Each of the parties muVdally agree that they shall not use or disclose such confidential information for any purpose other than in the performance of the setwices under this A~eement.
Any dispute between the parties hereto shall be resolved by arbitration conducted pursuant to the applicable rules of the American Arbitration Association in Galveston County, Texas or New York City, New York. In any such arbitration, the arbita’ator is authorized to award attorney’s fees to the prevailing parry or parties if the arbitrator finds that the position of the other party or parties was maintained in bad t;aith.
Damon J. Chargois, Chargois, Mashayekh & Herron, LLP
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucharow, LLP
2 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17587 Case 1:11-cv-10230-MLW Document 454-25 Filed 08/16/18 Page 1 of 1
Message on behalf of Belfi, Eric J. Se nt: 9/6/2016 1:17:24 AM To: Keller, Christopher J. [/o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Grou p/cn=Recipients/cn=kellerc] Subject: Spectrum and Vocera settlement
Perfect. I will be in the office then.
From: Keller, christopher 3. sent: Monday, September 05, 2016 9:17 PM To: Belfi, Eric J.
Let’s discuss tomorrow. I’m traveling in the morning but will land around 1130 and then I’ll be in the car for an hour. Does that work? christopher Keller
Partner II Labaton sucharow LLP
140 Broadway
New York, NY 10005
212-907-0853
Begin forwarded message:
From: Damon chargois
Sent from my iPhone
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017643 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 1 of 12
Labaton Sucharow Eric J. Betfi Partner 212 907 0878 direct CHA_RGOIS & HERRON, L.L.P. 212 883 7078 fax ATTORNEYS AT LAW email ebelfi@!abaton.com
Damon J. Chargois Managing Part~er 281 444 0604 telephone july 3o, 2008 281 440 0124 fax email [email protected] VIA FEDERAL EXPRESS
Chrism S. Clark Chief Counsd Arkansas Teacher Retirement System 1400 West Third Street Litde Rock, AR 72201
Request For Qualifications For Outside Legal Counsel Secutides Litigation, Class Action Monitoring and Advice; Asset Recovery
Dear Ms. Clark:
In response to the above-referenced Request for Qualifications (the "RFQ"), Labaton Sucharow LLP ("Labaton Sucharow") and Chargois & Herron, LLP ("Chargois & Herron") respectfully submit three stapled copies of our response, along with the required forms including: the Contact Data Sheet, the Contract and Grant Disclosure Certification Form, and the State of Arkansas Professional/Consultant Services Contract.
We bch’evc that the resources, knowledge, integrity and experience of Labaton Sucharow and Chargois & Herron, will provide the Arkansas Teacher Retirement System ("ATRS") with outstanding securities litigation representation. We hope that we can be of further assistance to you in this matter. Please do not hesitate to contact us if you have any questions regarding our response to the R~Q.
Very truly yours,
Partner Labaton Sucharow LLP
Damon J. Chargois Managing Partner Chargois & Herron, LLP
Chargois & Herron, LLP 2201 Timberloch Place, Ste. !!0, The Woodlands, TX 77380 281 444-0804 main 28! 440-0124 fax Labaton Sucharow LLP 140 Broadway, NewYork, NY 10005 212 907 0700 main 212 818 0472 fax www.labaton.com ~
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17756 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 2 of 12
ARKANSAS TEACHER RETIREMENT SYSTEM
CONTACT DATA SHEET FOR
REQL1EST FOR PROPOSALS ("RFQ") FOR OUTSIDE COUNSEL
TO BE COMPLETED AND SUBMIT1T-D WITH YOUR RESPONSE.
Name of lead attorney contact:
Lead attorney’s telephone no.:
Lead attorney’s facsimile no,:
Lead attorney’s e-mail address:
Firm main switchboard no.:
Firm main mailing address:
Firm main street address: I o005
Lead attorney’s mailing address if differen~ ii~om above:
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17757 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 3 of 12
ARKANSAS TEACIIER RETIREMENT SYSTEM
CONTACT DATA SHEET FOR
REQUEST FOR PROPOSALS ("RFQ’) FOR OUTSIDE COUNSEL
TO BE COMPLETED AND SUBMITTED WITH YOUR RESPONSE.
Chargois & Herron, LLP Full legal firm name:
Damon J. Chargois Name of lead attorney contact:
281 444-0604 Lead aRomey’s telephone no.:
281 440-0124 Lead a~orney’s facMmile no.:
Lead attorney’s e-mail address: damon@cmhllp, com
Firm Internet address:
Firm main switchboard no.: 281 444-0604
Firm main mailing address: 2201 Timberloch Place, Suite Ii0~ The woodlands, Tx 77380
Firm main street address: 2201 Timberloch Place, Suite ll0, The Woodlands, Texas 77380
Lead attorney’s mailing address if different from above: u/;~
Texas and Arkansas State where lead attorney licensed:
States where attorneys are licensed: Texas and Arkansas $350.00 Range of hourly rates proposed:
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17758 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 4 of 12
¯ ¯
CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM Failure to complete all of the fel~o,,,An~] inforrnalJon ma~t result in a delay in obtath~ng a contractr lesser pJrchsse a~mement, or ~jm~ a ,ward with an~, Arkansas State A~,,en,,c~.
[~Yes r-INo Lo..bo,~cv3 ~’~j(.,ktoj(l~ L.L,P
~S THIS FOR: TAXPAYER ID NAMI~: [] Goods? [] Services?l-] Both? -.,., 3".
I~te ~w if: ~u, ~ s~use or the ~ther, siNer, ~mnl, or ~ild of ~u or ~ut s~use N a ~t or ~: ~m~ of ~e Gene~l ~Ny, ~ns~t~ional Officer, S~te ~ ~ Co~lssl~ Mem~r~ or S~te Empty:
Wh~ is the ~mon(s) name and how ~ ~ey retat~ te you? Ma~ (~ Na~ of Posi~on of Job Held F~ How ~? PosHiOn Held [~, mp~, na~ d . , ~.e., Jane Q. PuMIc, spouse, John Q. ~lc, Jr,, chi~, etc.] ~ ~n, ~ ~, ~c.] F~ To C~ F~r Relagon M~ M~ Pe~’s Names} General Assembly
Constitutional Officer State Board or Commission M~mb~r State Employee
~ None of the above applies FOR ~,~ EI"~TITY (Bus~.SS)*
Indicate below if any of the following persons, current or former, hold any positJo~ of control or hem any ownership interest of 10% (x greater In the entity:, member of the General Assembly, Constitutlonsl Officer, State Board o? Comtnlss~on Member, State Employee, or the sl:x~me, brother, sister, p~rent, or ch=ld of s member of the General AssemNy, Constitutional Officer, State Board or Commission Membert or Sl~te Employee, Postt~on of contro~ means the power to direc~ the purchss ~j policies o~ Influence the mana~, ement of the entity.
Mark (’~) Name of Posit~n of Job Held For How Long? What Is the person(s) r~ams and what is his~het % of ow~,ership interest andlor what is his’her position of Position Held [.~,, r-,,,~,-.~-~,~,,~, ~e of Curr~n! FotT.r~f boartl/commission, dat~ snt~j, etc.] From TO Ownership Position of MM/YY MM/YY Person’s Name(s) Interest I%1 Central General Assembly
Constitutional Officer State Board or Commlsslo"n Member State Employee None of the above applies
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017759 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 5 of 12
¯ ¯
Contract and Grant Disclosure and Certification Form
Failure to make an~ disclosure required bF Governor’s Executive Order 98-04~ or an~ violation of. anT, ruler,regulation) or policF adopted pursuat~t to that Order) shall be a material breach o[ the terms of this contract An~ contractor~ whether an individual or entity, who fails to make the required dlsclosare or who violates an~ rule) regulation) or pollcl~ shall be subiect to all legal remedies available to the agencT,
As an additional condition of obtaining, extending, amending, or renewing a contract with a state a~encv | am’ee as follows: Prior to entering into any agreement with any subcontractor, prior or subsequent to the contract date, I will require the subcontractor to complete a CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM. Subcontractor shai! mean any person or entity with whom I enter an agreement whereby I assign or otherwise delegate to the person or ent’~’, for consideration, all, or any part, of the performance required of me under the terms of my contract with the state agency.
2. I wi!l include the following language as a part of any agreement with a subcontractor:
Failure to make any disclosure required by Governor’s Executive Order 98-04, or any violation of any rule, regulation, or policy adopted pursuant to that Order, shall be a material breach of the terms of this subcontract. The party who fails to make the required disclosure or who violates arty rule, regulation, or policy shall be subject to all legal remedies available to the contractor.
No later than ten (10) days after entering into any agreement with a subcontractor, whether pdor or subsequent to the contract date, I will mai! a copy of the CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM completed by the subcontractor and a statement containing the doltar amount of the subcontract to the state agency.
I certify under penalty of perju,rg~ to the best of my knowledge and belief~ all of the above information is true and correct and that I agree to the subcontractor disclosure conditions stated herein.
Signature ~ (/~- ,
Vendor Contact Person " ~’~ Title ~;~)a,Y’~’l~f" Phone No.
A,qency use only Agency Agency Agency Contact Contract Number Name Contact Person Phone No. or Grant No.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB SO 17760 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 6 of 12
CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM
[] Yes []NO Chargois & Herron, LLP , ~o-o~ IS THIS FOf~ [~ G~ds? ~ ~i~s?~ Both? ~rgois Y~R~ ~ ~: Da~n N~: J. ~: 2201 Ti~erloch Place, Suite if0 ~: The Wo~lands ~ATE: TX ~: 77380 ~: USA AS A CONDITION OF OBTAINING. BG’ENDING. AMENDING. OR RENEM,’ING A ~;ONTRA(;T, IFASF., P~I~SE AGp~F_F_.MENT OR GRANT AWARD WITH ANY 4~KANSA$ STATE AGENCYr THE FOLLOWING INFORMATION MUST BE Di~CL~SED~, FOR INDIVIDUALS* II Memb% or St~e Emplo~e: Name of Pos~ion of Job Held Pos~on He~d [Le., ,rune Q. Pu~~, spouse, John Q. ~,J~c, Jr., ~ild, e~c.] From To M~Y MM/YY Proton’s Name(s) Re~k,n
Constitutional State Board or Commission Member st~t~ Eml~oyee 11
[] None of the above applies
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017761 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 7 of 12
Contract and Grant Disclosure and Certification Form I
Failur~ to make atw disclosure required Iw (jmcrtmr’s Execut~ Order 98-04. or any violation ofatw rule. reffuladon, or m~lc~ adopted pursuarLt to
~ure or ~ violates ang rule~ regula~n, or ~ shall be subject to all legal remedies ~le to the age,qcF,
,Ss an additional co.ndition of obtaintng~ extending, amending, or renewln~ a contract with a sW#e arena,, I agree as follows: Prior to entering into any agreement with any subcontractor, prior or subsequent to the contract date, I will require the subcontractor to complete a CONTRACT ~ GR~,~r I)BCLOSUI~ ANO CERTI=m~TION FOR~. Subcontractor shall rr’--,~an any person or entity with whom I enter an agreement whereby I assign or othef~se delegate to the person or entity, for consideralk~, all. or any part, of the performance required of rne under the terms of my contract with the state ager~-y.
2. I will Include the following language as a part of any agreement with a subconkactor:
Failure to make any disclosure required by Governor’s Executive Order 98-04, or any violation of any rule, regulation, or policy adopted pursucmt to that Order, shall be a material breach of the terms of this subcontract. The parry who fail~ to make the required disclosure or who violates any rule, regulation, or policy M~ali be subject to all legal reme~e~ available to the contractor. No later than ten (10) days after entedng into any agreement with a subcontractor, whether prior or subsequent to the contract date, I will mail a copy of the CONTRACT AND GRANT DI~CLO~LtRE AND CERTIFICATION FORM completed by the subcontractor and a statement containing the dollar amount of the subcontract to the state a~ency.
! ~rti~ under penalty of pedurv, 1o the.best of my knowledae and belief, ell of the above Information is true and correct and that ! a~ree to ~ su~trapto~ disclosure coo[~tlons stated herein. Signature F~ ~:~%~.~F~ Title.v~t~ Date. 07-21-08 ...... t./ A ~on Char,oi~ --.. Partner (281) 444-0604 venoor ~onmct H~on ~/ ,ige Phone No.
Agency Agency Agency Contact Contract Number Name Contact Person Phone No. or Grant No.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB S017762 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 8 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
YES NO
PROCUREMENT: Check appropriate box below for the method of procurement for this contract: ABA Criteria [] Request for Proposal [] Competitive Bid [] Request for Qualifications Intergovernmental [] Emergency O Sole Source by Justification [] (Must be attached). Sole Source by Intent to Award [] Sole Source by Law U’I Act # or Statute #
DATES, PARTIES: The term of this agreement shall begin on and shall end on
State of Arkansas is hereina~er referred to as the agency and vendor is here after referred to as the Contractor,
Labaton Sueharow 140 Broadway, New York. NY 10005
GALCULATIONS OF COMPENSATIQN; For work to be accomplished under this agreement, the Contractor agrees to provide the personnel at the rates scheduled for each level of consulting personnel as listed herein. Calculations of compensation and reimbursable expenses shall only be listed in this section. If additional space is required, a continuation sheet may be used as an attachment,
Labaton Sucharow and Chargois and Herron will only be compensated on a contingency fee basis after court approval at the end of a case. Please refer to response in Section 5.10 for billing rates for all legal professionals.
Senior Partners need info Junior Partners need info Senior Associates need info Junior Associates need info Paralegals need mfo
Total compensation exclusive of expense reimbursement
Total reimbursable expense $
Total compensation inclusive of expense reimbursement $
FORM OSP-I Page I of 5 07/01/05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017763 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 9 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
4. SOURCE OF FUNDS: Complete appropriate box(es) below to total 100% of the funding in this contract.
source of funds for the following:
MUST BE SPECIFIC (i.e. fees, tuition, agricultural sales, bond proceeds, donations, etc.)
Labaton Sucharow and Chargois & Herron will advance all litigation costs and expect to be reimbursed for those costs only at the end of a case with the approval of the Court, and only out of the total class recoveLv. In a class action case, reimbursement could range from several hundred thousand dollars to several million dollars, depending on the length and complexity of the case involved.
RENDERING O~ COMPENSATION: The method(s) of rendering compensation and/or evaluation of satisfactory achievement toward attainment of the agreement listed herein is as fol!ows, or in attachment no. __ to this agreement.
As the engagement ofLabaton Sucharow and Chargois & Herron is on a fully contingent basis, any fee awarded would be subiect to Court approval, and only then ~t]~ review and approval by th~ cfient.
OBJECTIVES AND SCOPE: State description of services, objectives, and scope to the provided. (DO NOT USE "SEE ATTACHED")
Class action securities litigation and related portfolio monitorin~ services represent Labaton Sucharow’s principal practice area and source of revenue. The firm has substantial experience in advising; public pension plans and other institutional investors with re~;ard to securities fraud matters, and has served as lead counsel in numerous securities class actions. Labaton Sucharow also monitors portfolios of state and institutional public pension plans in excess of $1 trillion dollars. Labaton Sucharow’s portfolio monitoring services would be provided to ATRS at no cost. Labaton Sucharow seeks to provide securities litigation, class action monitoring az~d advice services on behalf of~he ATRS.
PERFORMANCE STANDARDS: List Performance standards for the term of the contract (if necessaJ3f, used attachments)
As class action attorneys working on a contingency fee basis, the amount of our compensation is directly related to the degree of success in the litigation.
FORM OSP-I Page 2 of 5 07/01t05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017764 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 10 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
ATTACHMENTS: List ALL attachments to this contract by attachment number:
9. CERTIFICATION OF CONTRACTOR
"1, Eric J. Belfi Partner (Contractor) (Title) certify under penalty of perjury that, to the best of rrry’ knowledge and belief, no regular full-time or part- time employee of any Slate agency of the State of Arkansas wiR receive any personal, direct or indirect monetary benefits which would be in violation of the law as a result of the execution of this contract." Where the contractor is a widely-held public corporation, the term ’direct or Indirect monetary benefits’ "shall not apply to any regular corporate dividends paid to a stockholder of said corporation who is also a State employee and who owns tess than ten percent (10%) of the tolal outstanding stock of the contracting corporation."
List any other contracts or subcontracts you have with any other state government entities. (Not applicable to contracts between Arkansas state agencies,)
Are you currently engaged in any legal controversies with any state agencies or represent any clients engaged in any controversy with any Arkansas state agency?
Neither me, Eric J. Belfi, nor Labaton Sueharow is currently engaged in any legal controversies with any state agencies and do not represent any clients ~goged in any controversy with any Arkansas state agency.
The contractor agrees to list below, or on an attachment hereto, names, addresses, and relationship of those persons who will be supplying services to the slate agency at the time of the execution of the contract. If the names are not known at the time of the execution of the contract, the contractor shall submit the names along with the other information as they become known. Such persons shall, for all purposes, be employees or independent contractors operating under the control of the contractor (sub- contractors), and nothing herein shall be construed to create an employment relationship between the agencies and the persons listed below.
Please see section 5.7 of the attached response for the attorneys who would be assimaed to a securities litigation matter on behalf of the ATRS, Other professionals who would be assigned are: Parale~al Manager Danette McKenzie Assistant Paralegal Manager
The agency shall exercise no managerial responsibilities over the contractor" or his employees. In carrying out this contract, it is expressly agreed that there is no employment relationship between the contracting parties.
FORM OSP-1 Page 3 of 5 07101/05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017765 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 11 of 12
STATE OF ARKANSAS PROFESSIONAL!CONSULTANT SERVICES CONTRACT
10. DISCLOSURE REQUIRED BY EXECUTIVE ORDER 98-04: Any contract or amendment to a contract executed by an agency which exceeds $25,000 shall require the contractor to disclose information as required under the terms of Executive Order 98-04 and the Regulations pursuant thereto. The contractor shall also require the subcontractor to disclose the same information. The Contract and Grant Disclosure and Certification Form (Form PCS-D attachment t1-10.3) shall be used for this purpose.
Contracts with another government entity such as a state agency, public education institution, federal government entity, or body of a local government are exempt from disclosure requirements.
The failure of any person or entity to disclose as required under any term of Executive Order 98-04, or the violation of any rule, regulation or policy promulgated by the Department of Finance and Administration pursuant to this Order, shall be considered a material breach of the terms of the contract, lease, purchase agreement, or grant and shall subject the party failing to disclose, or in violation, to all legal remedies available to the Agency under the provisions of existing law.
11. NON-APPROPRiATiON CLAUSE:
"In the event the State of Arkansas fails to appropriate funds or make monies available for any biennial period covered by the term of this contract for the services to be provided by the contractor, ~is contract shall be terminated on the last day of the last biennial period for which funds were appropriated or monies made available for such purposes.
This provision shall not be construed to abridge any other right of termination the agency may have."
12. TERMS: The term of this agreement begins on the date in SECTION 2 and will end on the date in SECTION 2, and/or as agreed to separately in writing by both parties.
This contract may be extended until , in accordance with the terms stated in the Procurement, by written mutual agreement of both parties and subject to: approval of the Arkansas Department of Finance and Administration/Director of Office of State Procurement, appropriation of necessary funding, and review by any necessary state or federal authority.
Amendments to contracts will require review by Legislative Council or Joint Budget Committee prior to approval by the Department of Finance and Adminlstration/Director of Office of State Procurement if the original contract was reviewed by Legislative Council or Joint Budget Committee and the amendment increases the dollar amount or involves major changes in the objectives and scope of the contract.
Amendments (to contracts that originally did not require review by Legislative Council or Joint Budget Committee) which cause the total compensation to exceed the sum of $25,000, shall require review by the Legislative Council or Joint Budget Committee, prior to the anDroval of the Deeartment of Finance and AdminlstrationlDlrector of Office of State Procurement and before the execution date of tim amendment.
This contract may be terminated by either party upon 30 day written notice, unless otherwise agreed by both parties.
13. AUTHORIW: A. This contract shall be governed by the Laws of the State of Arkansas as interpreted by the Attorney General of the State of Arkansas and shall be In accordance with the intent of Arkansas Code Annotated §19-11-1001 et seq.
Any legislation that may be enacted subsequent to the date of this agreement, which may cause all or any part o~ the agreement to be in conflict with the laws of the State of Arkansas, will be given proper consideration if and when this contract is renewed or extended; the contract will be altered to comply with the then applicable laws.
FORM OSP-1 Page 4 of 5 07/0t/05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017766 Case 1:11-cv-10230-MLW Document 454-26 Filed 08/16/18 Page 12 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
!4. AGENCY COORDINATION: The Agency Representative coordinating the work of thLs contractor will be:
(N~E) (TITLE) {TELEPHONE #)
Mail approved contract to:
Agency agrees to make available advice, counsel, data, and personnel, etc. as described immediately below or In Attachment number to this agreemenL
15. AGENCY SIGNATURE CERTIFIES NO OBLIGATIONS WILL BE INCURRED BY A STATE AGENCY UNLESS SUFFICIENT FUNDS ARE AVAILABLE TO PAY THE OBLIGATIONS WHEN THEY BECOME DUE,
16. TfPE OF CONTRACT: PROFESSIONAL ~ CONSULTANT []
17. SlGNA~RES
AGENCY DIRECTOR DATE
parmer TITLE TITLE
140 Broadway New YorL NY 10005 ADDRESS ADDRESS
TITLE 2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380
1021 W. Second Street Little Rock. Arkansas 72201 ADDRESS
APPROVED: DEPARTMENT OF FINANCE AND ADMINISTRATION DATE
FORM OSP-1 Page 5 of 5 0W01/05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017767 Case 1:11-cv-10230-MLW Document 454-27 Filed 08/16/18 Page 1 of 2
Message
From: Damon Chargois [[email protected]] Sent: 3/9/2013 1:58:37 AM To: Belfi, Eric J. [[email protected]] Subject: Re: Groupon
she had to reschedule for next week. Gracie said that she is one of her closest friends and we’ll get ito
Sent from my iPhone
On Mar 8, 2013, at 7:09 PM, "Belfi, Eric 3."
How did you meeting go?
owe you a call on your questions - been running around crazy as usual.
From: Damon Chargois [mailto:[email protected]] sent: Tuesday, March 05, 2013 2:12 PM To: Belfi, Eric J. Subject: Re: Groupon
Rhonda smith (executive director of The muni employee fund), Gracie and I are having lunch on Thursday to discuss one topic-= Labaton monitoring the portfolio
sent from my iPhone
On Mar 5, 2013, at 11:49 AM, "Belfi, Eric 3."
Anything new to report?
From: Damon chargois [mailto:[email protected]] sent: wednesday, February 20, 2013 10:13 AM To: Belfi, Eric J. subject: RE: Groupon
Thank you, Eric. Btw, Gracie has identified members of most of the funds that you listed and she, Kamran and z wil be having lunch with them over the next few weeks in advance of the I meeting. It was Max’s suggestion.
From: Belfi, Eric J. [EBelfi@laba~on.com] Sent: wednesday, February 20, 2013 8:15 AM To: Damon Chargois Subject: FW: Groupon
FYI.
From: io=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=belfie Sent: ~ednesday, February 20, 2013 9:15 AM To: George Hopkins ([email protected])
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017805 Case 1:11-cv-10230-MLW Document 454-27 Filed 08/16/18 Page 2 of 2
subject: Groupon
Dear George:
Please see the results of the lead plaintiff motion that we made for ATRS in Groupon.
1. Arkansas Teacher Retirement System (Labaton) - $1.4 million
2. 3un Xue (Robbins iGeller) - $70,000
3. Gerald smith (Levi & Korsinsky) - $63,077
We will update you as we get this case going.
Best regards,
Eri c
P Please consider the environment before printing this email.
~"~°’~Privilege¯ and Confidentiality Notice***
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS017806 Case 1:11-cv-10230-MLW Document 454-28 Filed 08/16/18 Page 1 of 2 Case 1:11-cv-10230-MLW Document 454-28 Filed 08/16/18 Page 2 of 2 Case 1:11-cv-10230-MLW Document 454-29 Filed 08/16/18 Page 1 of 1 Case 1:11-cv-10230-MLW Document 454-30 Filed 08/16/18 Page 1 of 2 Case 1:11-cv-10230-MLW Document 454-30 Filed 08/16/18 Page 2 of 2 Case 1:11-cv-10230-MLW Document 454-31 Filed 08/16/18 Page 1 of 1
Message
From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 6/18/2010 6:42:42 PM To: Damon Chargois [[email protected]]; ’Tim Herron’ [[email protected]] Subject: Labaton Sucharow Symposium (Sept. 30 - Oct. 1st) Attachments: 10-1 Invitation.pall
Dear Damon/Tim:
We are pleased to invite you to join our distinguished panelists and participate in a small group discussion on Thursday, september 30th - Friday, october 1st at Le Parker Meridien in New York City, where Labaton sucharow will host an exclusive, invitation-only symposium.
Previous symposia included a distinguished cross section of industry experts on issues relating to corporate governance and securities regulation, speakers included Kenneth Feinberg, Special Master for Compensation, Treasury Department; Professor and former SEC General Counsel and commissioner Harvey Goldschmid; and Joseph stiglitz, university Professor and Nobel Prize winner, columbia university, to name a few. This year we have already lined up Professor James cox, chairman Gary Gensler of the commodities Futures Trading Commission, Commissioner Harvey Goldschmid, and Professor Joel seligman.
Attached is an invitation for the symposium. Labaton sucharow has reserved a block of rooms at Le Parker Meridien, 119 West 56th street (between 6th and 7th Avenues) for a special room rate of $329 a night, we are pleased to provide transportation to New York city-area airports and train stations at the conclusion of the symposium. If you would like to reserve a hotel room and!or transportation to an airport /train station, please contact Gennaro Della Gatta at +1.212.907.0643 or [email protected].
Best regards,
Eric
Eric J. Belfi Partner II Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected]
*’~*Pri vi I ege and confi denti al i ty Noti
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS020585 Case 1:11-cv-10230-MLW Document 454-32 Filed 08/16/18 Page 1 of 2
Labaton Sucharow LLP s Annual Symposium
Thursda}s September 30~ 2010
PIease ~ioi~a ~s for cocktails and di~sner ValbelIa .Ristora,~te 421 West 13th Street New York, NY 10014 6:30 - 10:00 p.m.
Friday~ October 1, 2010
Sy~r~posktm Le Parker .~@ridien 119 West 56th Street New York, NY 10019 8:30 a.m. - 3:45 p.m.
speakers to include:
}[ames Cox Bra#wrd Currie Pr@’~ssor of La~v Duke Law School
Professor Cox joined the faculty of the School of Law at D uke in 1979 where he specializes in the areas of corporate and securities law. In addition to his texts Fina~tcial in/brmatio~, Accou~ti~tg and the ka~; Cox and Hazen o~t Corporations; and Securities Regulations Cases a,~d Materials (with Hilhnau & Langevoort), Professor Cox has published extensively in the areas of market regulation and corporate governance as well as having testified before the U.S. tIouse and Senate on inside trading, class actions, and market reibrm issues.
G ary G e~sIer Chairma~ Commodities Futures Trading Commission
Gary Gensler was swor~ i~ as the Chairma~ of the Commodity Futures ~Dading Commission on May 26, 2009. Chairman Gensler previously served at the U.S. Department of the Treasury as Under Secretary of Domestic Finance (1999-2001) and as Assistanl Secretary of Financial Markets (1997-1999)o He subsequently served as a Senior Advisor to the Chairman of the U.S. Senate Banking Committee, Senator Paul Sarbanes, on the Sarbanes-Oxley Act, reforming corporate responsibility, accounting and securities laws.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS020586 Case 1:11-cv-10230-MLW Document 454-32 Filed 08/16/18 Page 2 of 2
Dwight Professor of Law Columbia University School of Law
Professor (~oldschmid has served as Dwight Professor since 1984, and was an Assistant Professor (1970-71), an Associate Professor (I 971-73), and a Professor of Law (1973-84) at Columbia. From 2002-05, Professor Goldschmid served as a Commisskmer of the United States Securities and Exchange Commission, and in 1998-99, he was the SEC’s General Counsel (chief legal officer); from lanuary I to July 15, 2000, he was Special Senior Advisor to SEC Chairman Arthur Levitt.
k>el Selig~:~an President Un ive rsity o f R o ch e ste r
Joel Seligman became the tenth presiden t of the University of Rochester on July 1, 2005. One of tlhe nation’s leading experts on securities law, Mr. Seligman is the co-author, with the late Louis Loss and with Troy Pare&s, of the 11-volume Securities Regulation (annually updated, Aspen Publishers), the leading treatise in the field, and author of The Transformation of Wall Street: A ~.-Iistor), of the Securities and Exchange Commission and Moderr~ Cot?orate Finance (third edition, Aspen Publishers, 2003). He is the author or co-author of twenty books and more than forty articles on legal issues related to securities and corporations.
P.oge r L owe nstdn Author 7he End qf ~,~M1 Street
An American financial journalist, M r. Lowenstein reported fi)r the Wail Street ]ournaI %r more than a decade, including two years writing its "tIeard on the Street" column, 1989 to 1991. Mr. Lowenstein has published three books and authored one. In addition, he has written lbr many publications, including Smart Monqy and ;the New York Times. Mr. Lowenstein is a regular book reviewer fi>r The New York Times and has written a number of major articles and cover stories :for the ~e New 7brk: Times ?~4agazine.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS020587 Case 1:11-cv-10230-MLW Document 454-33 Filed 08/16/18 Page 1 of 1
Message
From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 7/2/2010 12:24:56 AM To: Tim Herron [[email protected]]; Damon Chargois [[email protected]] Subject: Goldman
Tim!Damon:
It was great seeing both of you last night.
As we discussed, here is a story about how quick Goldman may settle the SEC action.
Goldman sachs could settle ’As Early as July 20,’ Mayo Says
June 28 (Bloomberg) -- Goldman sachs Group Inco could settle its securities and Exchange Commission lawsuit by the end of the year and "as early as July 20," credit Agricole Securities USA Inc. analyst Mike Mayo said in a note to clients today. The New York-based firm, sued by the SEC in April for defrauding investors, could incur a legal charge of $1 billion for the settlement, Mayo said. Goldman sachs denies the SEC’s claims.
Eric
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Message
From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 7/7/2010 6:35:21 PM To: Johnson, James [[email protected]] Subject: FW: RESUME Attachments: meadorlO.doc
An important attorney to the firm, Tim Herron (our Arkansas Teacher contact) has asked if we could hire his daughter from a summer position, she is only available £rom July 19 to August 20. I know it is really late but he has been very good to the firm and if there is a way that she could have something for the month that would be great. It is not an economic thing but rather an experience issue for her.
Thanks.
Eric
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Message
From: Kamran Mashayekh [[email protected]]
Sent: 4/13/2012 3:42:04 PM To: Graciela Saenz [[email protected]]; Belfi, Eric J. [[email protected]] CC: Damon Chargois [[email protected]]; [email protected] Subject: RE: Breaking bread and talking business
Dear Gracie:
Major congrats on the first step of getting ~what they are aimin for~ I wanted to see when would be a good time to have dinner with all of us including that ~ ~ calls it) and also to talk strategy as to ~
we look forward to seeing yall and have a great weekend and throw out some possible dates and off we go...
ca~arones
From: Graciela Saenz [mailto:[email protected]] sent: Tue 4/3/2012 1:34 PM To: ’Belfi, Eric Cc: Kamran Mashayekh; Damon chargois; [email protected] subject: RE: Telephone conference
May not be able to do it until 4:30 p.m. (central time). Gracie
From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, April 03, 2012 1:28 PM To: Graciela Saenz Cc: Kamran Mashayekh; Damon chargois; [email protected] Subject: Re: Telephone conference
No problem. Do you want to do it later today or tomorrow?
Eric J. Belfi
Partner
Labaton sucharow LLP
140 Broadway
New York, N.Y. 10005
o: 1.212.907.0878
c: 1:516.509.5236
On Apr 3, 2012, at 2:25 PM, "Graciela Saenz"
Dear Eric: Here I go a ain I am bein pulled into a 2:00 p.m. meeting with the Houston chronicle Editorial board with ~. will need to reschedule my phone conference. My apologies.
My best,
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022641 Case 1:11-cv-10230-MLW Document 454-38 Filed 08/16/18 Page 2 of 2
Graciela G. Saenz
Saenz & Burkhardt, P.L.L.C.
Midtown Plaza
5225 Katy Frwy., Ste. 540
Houston, Texas 77007
281-888-4409 (ofc)
g raci el a@saenzbu rkhardt, com
Notice: This message constitutes a confidential attorney-client communication. It is not intended for transmission to, or receipt by, any unauthorized persons. If you have received this electronic mail transmission in error, you are hereby notified that any unauthorized review, use, disclosure, dissemination, distribution, or copying of this communication, or any of its contents, is strictly prohibited. Please delete it from your system without copying it, and notify the sender by reply email or by calling, so that our address record can be corrected.
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P Please consider the environment before printing this email.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022642 Case 1:11-cv-10230-MLW Document 454-39 Filed 08/16/18 Page 1 of 2
Message
From: Graciela Saenz [[email protected]]
Sent: 3/28/2012 7:26:42 PM To: Belfi, Eric J. [[email protected]] CC: [email protected]; [email protected]; ’Damon Chargois’ [[email protected]]; Stocker, Michael W.
[[email protected]] Subject: RE: TEXpers
Thank you Eric: I would love to have the opportunity to go by your offices to learn more about your program. I am available to speak on Monday, April 2nd at around 2:00 p.m. central Time, if that’s okay with the rest of our group. I ’m also glad that the conference went nicely and I’m sure Max appreciated your participation.
In the meantime, looking forward to speaking with you.
My best,
Graciela Saenz
From: Belfi, Eric 3. [mailto:[email protected]] Sent: wednesday, March 28, 2012 12:07 PM To: [email protected] cc: [email protected]; [email protected]; Damon chargois ([email protected]); stocker, Michael W. Subject: TEXpers
Dear Gracie:
Thank you for making the introduction to Max. Things went very nicely at the conference.
I think that it would be beneficial if we can arrange for a call soon so we can discuss next steps, one idea that might be helpful to the process and has been helpful to other attorneys in your situation is for you to come to our office in New York and have us walk you through our program, we have found that when speaking with potential clients, it is very powerful to say that you have been to our offices and have seen the operation.
I am available for a call next week Monday (April 2) Thursday (April 6) - please let me know when you have time in your schedule.
Thank you again for helping us with TEXpers.
Regards,
Eric
Eric 3. Belfi
Partner
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022651 Case 1:11-cv-10230-MLW Document 454-39 Filed 08/16/18 Page 2 of 2
Labaton sucharow LLP
140 Broadway
New York, N.Y. 10005
Telephone: +1.212.907.0878
Facsimile: +1.212.883.7078
www.labaton.com
P Please consider the environment before printing this email.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022652 Case 1:11-cv-10230-MLW Document 454-40 Filed 08/16/18 Page 1 of 1
Message
From: Kamran Mashayekh [[email protected]]
Sent: 3/27/2012 2:18:11 PM To: Belfi, Eric J. [[email protected]] Subject: email addresses for gracie saenz and elizabeth burkhardt
Eric;
great seeing you again and meeting michael. Gracie’s email address is
[email protected] and her partner’s email elizabeth burkhardt’s is [email protected]
many thanks and talk soon
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Message
From: Damon Chargois [[email protected]]
Sent: 12/13/2011 4:55:00 PM To: Belfi, Eric J. [[email protected]] Subject: FW: TFXPERS 2012 Membership - Update
From: Graciela Saenz [mailto:[email protected]] Sent; Tuesday, December 13, 2011 8:02 AM To; Kamran Mashayekh; Damon Chargois Cc: [email protected] Subject: RE: TEXPERS 2012 Membership - Update
Dear Kamran & Damon: I was advised by Max that at the last minute the Board decided not to expand the number of securities litigation firms against his recommendations. He did though tMnk it still might be possible to get in since some of the existing firms might not: renew their membership. It is with this in mind that the email below was sent to Eric. Not sure why an invite was mistakenly sent but then maybe that’s why there was a mistake, Max was going to be gone so he asked his assistant t:o send the follow up to Eric. He believes that if Labaton stays in the picture and gets local presence then there is still good chance to get in,
My best,
Gradela Saenz
From: Kamran Mashayekh [mailto:[email protected]] Sent: Monday, December 12, 2011 5:38 PM To; [email protected] Subject: FW: TEXPERS 2012 Membership - Update
Dear Gracie:
Please see below and advise. Apparently, Labaton was mistakenly sent an invitation to join Texpers. The invitation was retracted if I am reading the email correctly.
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Appreciate your input and thoughts.
Many thanks
Kamran
From: Damon Chargois Sent: Mon 12/12/2011 12:27 PM To.’ Kamran Mashayekh Subject: FW: TEXPERS 2012 Membership - Update
Looks like TEXPERS spoke too soon. Need to talk to Gracie about Max. I thought Max had told them to expand the number of security litigation firms,
From: Belfi, Eric J. [mailto:[email protected]] Sent: Monday, December 12, 2011 12:18 PM To: Damon Chargois Subject: FW: TEXPER$ 2012 Membership - Update
From: Julie Vu [mailto:julie@TEXPERS,org] Sent: Monday, December 12, 2011 1:17 PM To: Belfi, Eric J. Subject: RE: TEXPER$ 2012 Membership - Update
Hi Eric .--- l realized an error was made on our part and an invite was inadvertently sent out to your firm to join as a member for 20.1.2. Unfortunately, pursuant to the TEXPERS Bylaws, we are only able to accept a limited number of security litigation firms as members each year. At the moment, these membership spots are either filled or pending.
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We are currently waiting to hear back from two members in regards to their renewal status. In the event either of the two firms decline to renew for 2012, I will follow u9 with you to complete your membership process, as your firm is the first: on the list: for t:hat membership spot°
I apologize for the miscommunical:ion and hope you understand.
Best Regards,
Texas Association of Public Employee
Retirement: Syst:ems (TEXPERS)
1225 North Loop West, Suite 909, Houston, TX 77008
Phone: ~,1.,~-622-8018 ¢~ lFax: 713-622-7022
gmai]: [email protected]
*PLEASE TAKE NOTE OF TEXPERS NEW ADDRESS & KINDLY UPDATE YOUR RECORDS
From: Belfi, Eric J. [mailto:[email protected]] ge,t: Monday, December 12, 2011 9:29 AM To: Julie Vu C¢: Bankston, Jennifer S.; Weiss, Sara Subject: RE: TEXPERS 2012 Membership - Update
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022714 Case 1:11-cv-10230-MLW Document 454-41 Filed 08/16/18 Page 4 of 6
i "have attached i:he re(imred papet:work.
Edc J.
New Yo~:k~ N.Y, i 0005 TNep]~one: -~--~1,212,907.0878 Facsimile: + i 2I 2,883,7078
~.labaton.com
***Pivile~, and Confidentiality Notice***
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From: Julie Vu [mailto:[email protected]] Sent: Tuesday, December 06, 2011 3:17 PM To: Belfi, Eric J. Subject: TEXPERS 2012 Membership - Update
Dear Eric,
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022715 Case 1:11-cv-10230-MLW Document 454-41 Filed 08/16/18 Page 5 of 6
I am delighted to inform you the TEXPERS Board of Directors have recently approved of your firm’s application for membership.
Please accept this correspondence as our invitation to join TEXPERS as an Associate Member for 2012.
Due to a limited availability of openings for new Associate Members, we kindly request for a response of your decision to join by December 16th, 2011.
If your firm accepts, please return a signed copy of the attached DB Acknowledgement form along with your membership dues of $5000 no later than January 6% 2012,
In the event we do not receive a response of your decision by December 16t]~, TEXPERS will take it that your firm has declined the invite to join and your current spot for membership will expire.
Please feel free to contact me should you have any questions or concerns.
Happy Holidays and we look forward to hearing from you soon!
Sincerely,
Texas Associatkm of Public Empk~yee
Retirement Systems (TEXPERS)
122~ Norfl~ Loop West, Suite 909, Houston, TX 7700g
Pholle: ~~ 1~622-8018~ ~Fax: 713~22-7022
E mail: ~_~J_~_~.D~_~_~£_~_Eg
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022716 Case 1:11-cv-10230-MLW Document 454-41 Filed 08/16/18 Page 6 of 6
*PLEASE TAKE NOTE OF TEXPER5 NEW ADDRESS & KINDLY UPDATE YOUR RECORDS
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Message
From: Graciela Saenz [[email protected]]
Sent: 11/29/2011 5:07:37 PM To: Belfi, Eric J. [[email protected]] CC: ’Kamran Mashayekh’ [[email protected]]; ’Damon Chargois’ [[email protected]]; [email protected]; ’Elaine Doyal’ [[email protected]]
Subject: RE: Labaton call Attachments: GRACIELA SAENZ - CV 2011.docx
Dear Eric: It was a pleasure to speak with you this morning. I have attached my cv and Elizabeth will be forwarding her’s in the near future. In the meantime, please also make note of our contact information below.
My best,
Graciela G. Saenz
Saenz & Burkhardt, P.L.L.C.
Midtown Plaza
5225 Katy Frwy., Ste. 540
Houston, Texas 77007
281-888-4409 (ofc)
832-250-7558 (cell)
Notice: This message constitutes a confidential attorney-client communication. It is not intended for transmission to, or receipt by, any unauthorized persons. If you have received this electronic mail transmission in error, you are hereby notified that any unauthorized review, use, disclosure, dissemination, distribution, or copying of this communication, or any of its contents, is strictly prohibited. Please delete it from your system without copying it, and notify the sender by reply email or by calling, so that our address record can be corrected.
Rules imposed by IRS Circular 230 require the Firm to state that, unless it is expressly stated avove or in a attachment hereto, any opinions expressed with respect to a significant tax issue are not intended to or written by the practitioner to be used, and cannot be used by the recipient, for the purpose of avoiding penalties that may be imposed on the recipient or any other person who may examine this correspondence with a Federal tax matter.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022718 Case 1:11-cv-10230-MLW Document 454-43 Filed 08/16/18 Page 1 of 2
GRACIELA SAENZ SAENZ & BURKHARDT, PLLC The Midtown Plaza Bldg. 5225 Katy Frwy., Ste. 540 Houston, Texas 77007 (282-888-4409) [ HYPERLINK "mailto: [email protected]" ]
Graciela "Gracie" Saenz is currently a law partner with Saenz & Burkhardt, PLLC. Her practice focuses on Government Relations, business, commercial and international business transactions.
Gracie’s experience includes representing a broad range of government and corporate clients in corporate, international, energy and tourism including representation of numerous start up organizations and public clients.
Representative Ex0erience: -Presently represent clients in business development with local public entities including Metro, HISD, the City of Houston, Harris Count), and the Houston Community College -Successfully assisted an environmental non profit to obtain funding from both State and Federal program sources; -Assisted in lobbying for the sale of a sports venue from a public entity to client church organization; -Assisted in keeping the relocation of a city recycling site from moving to clients neighboring property; -Assisted in negotiations and representation of minority clients and organizations for inclusion in the venues of Minute Maid Field, the Toyota Center and other sports institutions; -Assisted in the negotiations of the agreement for the City of Houston to host the 9th Annual Latin Grammy’s -Assisted real estate corporation in lobbying for the sale of sports venue; -Assisted in the allocation of cell phone towers throughout the City of Houston; -Successfidly lobbied for a $400 million in assets administrative contract for a municipal deferred compensation program; -Assisted minority concessionaire in obtaining presence in Houston Airport System;
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022719 Case 1:11-cv-10230-MLW Document 454-43 Filed 08/16/18 Page 2 of 2
Education: -University of Houston Law Center - JD, 1986 - Universidad Panamerican - Mexico City - Mexican Legal Studies Summer 1984 -University of Houston - BA Spanish - 1978
Admitted to Practice: -Texas, 1986 -U.S. District Court, Southern Division of Texas
Professional and Community Involvement:
-State Bar of Texas (1986 to Present) - Fellow with the -Memorial/Hermann Hospital System, TIRR Board Member (1998 to Preseut) -The Houston Hispanic Chamber of Commerce, Board Member (2004 to Present) -The American Leadership Forum, Chair & Board Member (2010 to Present) -Project G.R.A.D., Board Member, 2007 to Present -Coalition for Immigration Reform (2009 to Present) -The Plaza Group, Board of Advisors (2001 to 2010) -College of Biblical Studies, Board Member (2008 to present) -Harris County Housing Authority, Appointed Commissioner (2007 to 2009) -Houston City Council (at Large) Council Member 1992-1997 - Mayor Pro Tern - City of Houston (1993 to 1997) -Oaklawn Presbyterian Church - Member (1983 to Present) -Member of numerous local community organizations inclnding - Latin Women’s Initiative, the HWIL, LULAC Council 643; and PresWic
Awards & Recognitions:
-La Rosa Family Services Gala Honoree, 2008 -Sor Juana Women of Achievement, 2007 -Greater Houston Women’s Chamber of Commerce - Women on the Move 2007 -Professional Women in Fellowship Award, 2002 -Hispanic Women in Leadership - Hall of Fame, 1996 -Hispanic Woman of the Year Award, The Mexican American Opportunity Foundation, 1996 -Outstanding Citizen Award from the Boy Scouts, 1996 -International Service Award, Houston Junior Chamber of Commerce, 1995 -Alumnus of the Year Award, University of Houston Law Alumni Assn. 1993 -Distinguished Service Award, University of Houston, College of Law Faculty 1986
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022720 Case 1:11-cv-10230-MLW Document 454-44 Filed 08/16/18 Page 1 of 3
Message
From: Graciela Saenz [[email protected]]
Sent: 10/3/2011 3:49:22 PM To: Belfi, Eric J. [[email protected]] CC: ’Damon Chargois’ [[email protected]]; ’Kamran Mashayekh’ [[email protected]]; [email protected]
Subject: RE: Labaton call
Dear Eric: I have confirmed the call with ~and ~with the ~to take place today at 2:15 p.m. I will make the call to you at 2:00 p.m. to discuss any particulars before the call to the ~ I will call you at your office number. My cell number is I in case of any last minute changes. Thanks, Gracie Saenz
From: Belfi, Eric J. [mailto:[email protected]] Sent: Friday, september 30, 2011 4:37 PM To: Graciela Saenz Subject: Re: Labaton call
sounds good. I do have a call at 3:30 central time so I have to finish before then so if we can do it at 2:30 that would give us plenty of time.
Thanks for arranging and have a good weekend.
Eric
Eric Belfi
Partner
Labaton sucharow LLP
140 Broadway
New York, N.Y. 10005
o: 1.212.907.0878
c: 1.516.509.5236
On Sep 30, 2011, at 5:33 PM, "Graciela Saenz"
Great! I will confirm and let’s talk right before the call to~ Gracie
From: Belfi, Eric J. [mailto:[email protected]] Sent: Friday, september 30, 2011 4:28 PM To: ’[email protected]’; ’[email protected]’ cc: ’[email protected]’; ’[email protected]’ subject: Re: Labaton call
Gracie:
I can be at my desk at any time during that period.
My number is 212-907-0878.
Eric
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022721 Case 1:11-cv-10230-MLW Document 454-44 Filed 08/16/18 Page 2 of 3
Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com
From: Damon Chargois To: Graciela Saenz Cc: Kamran Mashayekh ; ; Belfi, Eric Sent: Fri Sep 30 17:24:15 2011 Subject: Re: Labaton call
I will be out of town, but Eric can be available between 2-3:30.
sent from my iPhone
on sep 30, 2011, at 4:05 PM, "Graciela Saenz"
Damon - Need to respond as soon as possible. Let me know. Gracie
From: Sent: Friday, september 30, 2011 3:14 PM To: ’Graciela Saenz’ ¢c: Christopher Gonzales subject: Labaton call
Hi Graciela. would you and one or more of the Labaton firm attorneys you wanted to partake in a conference call be available for a conversation during any of the following time periods on Monday (Central Time)?
10 am - 12:30 pm
2 pm - 3:30 pm
Best regards,
The information in this message is confidential and may be legally privileged. It is intended solely for the addressee. Access to this message by anyone else is unauthorized. If you are not the intended recipient, any disclosure, copying, or distribution of the message, or any action or omission taken by you in reliance on it, is prohibited and may be unlawful. Please delete the message and immediately contact the sender if you have received this message in error.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022722 Case 1:11-cv-10230-MLW Document 454-44 Filed 08/16/18 Page 3 of 3
If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022723 Case 1:11-cv-10230-MLW Document 454-45 Filed 08/16/18 Page 1 of 2
Message
From: Kamran Mashayekh [[email protected]]
Sent: 11/8/2012 11:21:05 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Electronic version - Marketing packet
correct .... i say there is a high chance you will be coming since they told gracie that they first want to meet with her and elizabeth in private then with you but I want to one hundred percent make sure and confirm after they meet tomorrow that the meeting on the 16th with you in houston is still on ..... I will call or text you IMMEDIATELY after gracie and elizabeth call me after their lunch with the head of the entity we are pursuing .... gracie’s partner, elizabeth is like you .... a great closer so I am optimistic and I have already coached her on what to say ....
From: Belfi, Eric J. [mailto:[email protected]] Sent: Thu 11/8/2012 5:17 PM To: Kamran Mashayekh subject: RE: Electronic version - Marketing packet
I have booked my flight yet but we will find out tomorrow if I need to come down in a week?
From: Kamran Mashayekh [mailto:[email protected]] Sent: Thursday, November 08, 2012 6:06 PM To: Belfi, Eric J. Cc: [email protected] Subject: RE: Electronic version - Marketing packet
thanks eric .... look forward to seeing you in houston..Elizabeth, I gave Eric the address you gave me yesterday to send the materials to...let us know if you dont get it by tomorrow for some reason...
thanks
From: Belfi, Eric J. [mailto:[email protected]] Sent: Thu 11/8/2012 4:58 PM To: Kamran Mashayekh subject: RE: Electronic version - Marketing packet
The materials were fedexed to her today for morning delivery.
From: Kamran Mashayekh [mailto:[email protected]] sent: Thursday, November 08, 2012 5:43 PM To: Elizabeth Burkhardt; Damon chargois Cc: [email protected]; Belfi, Eric J. Subject: RE: Electronic version - Marketing packet
Thank you Elizabeth and will for sure communicate that to Eric (by copying him on this email thread) and I am holding out great hope and extreme optimism that tomorrow’s meeting will lead to a November 16th invitation to meet with Eric in Houston with GV. Great work...:):):)
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022724 Case 1:11-cv-10230-MLW Document 454-45 Filed 08/16/18 Page 2 of 2
From: Elizabeth Burkhardt [mailto:[email protected]] sent: Thu 11/8/2012 4:36 PM To: Kamran Mashayekh; Damon chargois Cc: [email protected] subject: RE: Electronic version - Marketing packet
Kamran: I have printed out a copy for tomorrow’s meeting; but, please have Eric bring some nice sleek ones when he comes. Plenty of extras because we are looking at additional potentials as well. Thanks. Elizabeth
From: Kamran Mashayekh [mailto:[email protected]] sent: Thursday, November 08, 2012 6:52 AM To: [email protected] cc: [email protected] subject: FW: Electronic version - Marketing packet
confirm receipt please...my apologies for the late send and good morning...
From: Belfi, Eric J. [mailto:[email protected]] Sent: wed 11/7/2012 8:21 PM To: Kamran Mashayekh subject: Electronic version - Marketing packet
Kamran:
Here is the electronic version of the marketing package.
Fingers crossed.
Eric
P Please consider the environment before printing this email.
*~*Privilege and confidentiality Notice***
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022725 Case 1:11-cv-10230-MLW Document 454-46 Filed 08/16/18 Page 1 of 1
Message
From: Kamran Mashayekh [[email protected]]
Sent: 11/8/2012 2:44:08 AM To: Belfi, Eric J. [[email protected]] CC: Damon Chargois [[email protected]]; [email protected]~ [email protected] Subject: RE: Electronic version - Marketing packet
Thank you Eric. Gracie and Elizabeth will report back on friday post meeting and will inform you if you need to come down on the 16th of November for a meeting with ~- the major player on the entity we are pursuing. If he likes what he hears this friday, he will want to meet you in person. Again, I am optimistic and highly confident of your abilities and as I have told Damon, Gracie and Elizabeth, all we need to do is to get you in front of~ and the rest of the board and you will close it.
Tal k soon Kamran
ps- Elizabeth, please print and take to your meeting...with the storm sandy, mail is an issue hence email is the best option for now...
From: Belfi, Eric 3. [mailto:[email protected]] Sent: wed 11/7/2012 8:21 PM To: Kamran Mashayekh subject: Electronic version - Marketing packet
Kamran:
Here is the electronic version of the marketing package.
Fingers crossed.
Eric
P Please consider the environment before printing this email.
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Message
From: Kamran Mashayekh [[email protected]]
Sent: 7/26/2012 5:17:35 PM To: Belfi, Eric J. [[email protected]]; Damon Chargois [[email protected]] Subject:
Eric:
lots of activity last two days re the biz we been chasing in~ Damon will issue a full report cause I have relayed the info to him. Related to that, theresa for the entity we are pursuing slated for october 18th and Damon and I are attending for obvious reasons. Let me know if your firm wishes to participate and if so, I can have my contact send you the information.
thanks Kamran
From: Belfi, Eric J. [mailto:[email protected]] Sent: Thu 7/26/2012 12:14 PM To: Damon Chart Kamran Mashayekh subject: RE:
I received the st. Jude’s info - when do you need the money by?
From: Damon Chargois [mailto:[email protected]] Sent: Thursday, July 26, 2012 1:05 PM To: Belfi, Eric J.; Kamran Mashayekh subject: RE: ~
Thank you, Eric. I hope you are getting your batteries recharged. Let’s discuss below at your convenience, on another note, did you get Elaine’s email about Labaton contributing to the st. Jude’ children’s cancer Research Gala? The form was attached and we had discussed Labaton doing a $2,500 table.
From: Belfi, Eric J. [mailto:[email protected]] Sent: Thursday, July 26, 2012 11:48 AM To: Damon Chargois; Kamran Mashayekh subject: ~
Please see below - this was last night:
$911,952
2. ~ $858,384.78
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022733 Case 1:11-cv-10230-MLW Document 454-47 Filed 08/16/18 Page 2 of 2
I)- $788,799
4. ~ $209,428.10
$184,829.09
$124,904
7.~ $100,000 (approximately-did not provide loss chart)
$73,922.96
Eric J. Belfi
Partner
Labaton sucharow LLP
140 Broadway
New York, N.Y. 10005
Telephone: +1.212.907.0878
Facsimile: +1.212.883.7078
~w.labaton.com
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Message
From: Damon Chargois [[email protected]]
Sent: 7/29/2013 6:07:01 PM To: Belfi, Eric J. [[email protected]] Subject: Fwd: Telephone Call from
Attachments: Notes of Conversation with 29 2013.docx; ATTOOOOl.htm
~cancelled at the last minute on us, so we put together an informal text to him telling him its time to put the cards on the table regarding getting Labaton on board. He called Gracie and Elizabeth back at their offices today and attached is their summary of the conversation. I could use your guidance on the best way to handle bc my first impulse may not be what’s best for us, broth.
on another note, call me when you get free for some interesting ~information. It’s good stuff.
Sent from my iPhone
Begin forwarded message:
From: Graciela Saenz
finally returned my call and Elizabeth & I got to speak with him. Please see attached notes.
Graciela Saenz
Saenz & Burkhardt PLLC
The Midtown Plaza Bldg.
5225 Katy Frwy., Ste. 540
Houston, Texas 77007
281-888-4409 (ofc)
832-250-7558 (cell)
This e-mail transmission and any documents, files or previous e-mail messages attached to it, may be privileged and confidential and is intended only for the use of the intended recipient of this message. If you are not the intended recipient, or a person responsible for delivering it to the intended recipient, you are hereby notified that any review, disclosure, retention, copying, dissemination, distribution or use of any of the information contained in, or attached to this e-mail transmission is STRICTLY PROHIBITED. If you have received this transmission in error, please immediately notify me by return email or by telephone at the above number and delete the message and its attachments
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Notes of Conversation with (7/29/13)
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Message
From: Damon Chargois [[email protected]]
Sent: 7/24/2013 6:16:29 PM To: Belfi, Eric J. [[email protected]] CC: Kamran Mashayekh [[email protected]]
Subject: Re: ~ Attachments:
Thank you, Eric
Sent from my i Phone
On Jul 24, 2013, at 9:47 AM, "Belfi, Eric J."
> > > > From: Rogers, Denise R. > Sent: Wednesday, July 24, 2013 10:47 AM > To: Belfi, Eric J. > Subject: RE: Houston Funds (Police, Fire & Municipal) > > Eric, see info below, pardon the format. Thanks.
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From: Belfi, Eric J. Sent: Tuesday, July 23, 2013 11:57 AM To: Rogers, Denise R.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022788 Case 1:11-cv-10230-MLW Document 454-51 Filed 08/16/18 Page 9 of 9 subject:~
Please send me the trustees for each of the funds, I know you are out today so it can wait until tOmO r row,
Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] w~v.labaton.com
"*’~:’~Pri vi I ege and confi denti al i ty Noti ce
> This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. >
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Message
From: Damon Chargois [[email protected]]
Sent: 8/1/2014 2:31:39 PM To: Belfi, Eric J. [[email protected]] Attachments: photo.PNG; ATT0000 l.txt
Please ca]] me as soon as possible.
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Sent f~om my iPhone
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Hi Graciela,
Thank you for your reply. I will be sure to update your information. We will be meeting with the board next week and hope to get some more approvals for security litigation firm:s. I will folilow up with, you as soon, as we are able to approve your application. Cou:,ld you answer the ~que.stions below for me with a yes or no?
Texas Clients: Texas Off~ce:~ Public Pension Fund Clients?
Lena Parker Member: Services Specialist Texas Association of Public iEmployee Retirement Systems ~EXPERS) 1225 No~ih Loop West, Suite 909, Houston TX 77008
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Message
From: Damon Chargois [[email protected]]
Sent: 10/18/2014 5:15:00 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Eric, in reviewing your text regarding HP, it appe
That helps, Eric. Thank you
sent from my iPhone
> on oct 18, 2014, at 12:14 PM, "Belfi, Eric J."
>> Damon:
>> Unlike colonial where there was a modification, here this is not a modification. Arkansas only represented 23 percent of the losses so you are only entitled to receive 23 percent of the 20 percent or 4.6%. In colonial, after the fee split, we asked you to reduce the percentage below the pro rata split because the case was a loss to us. we could not afford to pay out 20 percent in that case.
>> In this case, there were 4 different Labaton clients that we had obligations on all of them. As indicated to you yesterday, we would not have been appointed lead without those 3 other clients and our relationship with Motley Rice because their client had a much larger loss. >> >> Going forward, you should know that Arkansas is almost never sole lead so this is going to happen in almost every case. It is not a modification, it is just how the agreement works.
I am around all day if you want to discuss further.
Eric
..... Original Message ..... From: Damon chargois [mailto:[email protected]] sent: saturday, october 18, 2014 9:15 AM To: Belfi, Eric J. Subject: Eric, in reviewing your text regarding HP, it appe
>> Eric, the call kept dropping, so I’m sending this email. In reviewing your text regarding HP, it appears that Labaton is trying to use the fee calculation done as a special consideration for Garrett’s 20% additional interest in the colonial Bank settlement (since both ATRS and clients via Garrett are in that case) as a precedent to change our fee agreement in ALL of the pension fund cases in which ATRS is a plaintiff. This is contrary to your express assurance to us that if we agreed to that accommodation in colonial Bank, it would not be used as a precedent in cases where Garrett isn’t involved. I acknowledge that we have discussed, in the past, treating certain cases where Labaton has multiple fee split obligations to referring firms differently on a case by case basis, but only after we both discuss and agree, with you giving me advanced notice of your intentions so that I can handle it with my partners on my end; not what you have done here in the HP case. >> >> I am very concerned that you guys are attempting to significantly, substantially and materially alter our agreement, our deal with Labaton is straightforward-- we got you ATRS as a client (after considerable favors, political activity, money spent and time dedicated in Arkansas) and Labaton would use ATRS to seek lead counsel appointments in institutional investor fraud and misrepresentation cases.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS022862 Case 1:11-cv-10230-MLW Document 454-65 Filed 08/16/18 Page 2 of 2 where Labaton is successful in getting appointed lead counsel and obtains a settlement or judgment award, we split Labaton’s attorney fee award 80/20. Period.
>> As I said in my text to you regarding HP and your allocation, I understand the circumstances in this case and am ok with the fee split in this instance, we are not changing our fee spilt agreement for of the other pension fund cases. You promised me that you would give me advanced notice of when you guys would seek a modification or accommodation on a given settlement and I want gou to keep to that going forward.
>> Sent from my iPhone >>
>> ***Privilege and confidentiality Noti
>> This electronic message contains information that is (a) k~GAkk¥ PRIVIk~G~, PROPRIKTARY IN NATURe, OR OTH~RNIS~ PROT~CT~ BY kAW gROW ~ISCkOS~R~, and (b) intended only for the use of the Addressee(s) named herein. If you are not the ~ddressee(s), or the ~erson responsible for delivering this to the Addressee(s), you are hereby notified that reading, co~ying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
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Message
From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 2/19/2014 3:49:20 AM To: Auld, Dominic J. [[email protected]] CC: Keller, Christopher J. [[email protected]] Subject:
I already reached out to them to get a status report. I am sure it will come back as nothing going on.
Eric Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236
On Feb 18, 2014, at 10:47 PM, "Auld, Dominic J."
Please don’t reach out to BB until I have reported back. No point in rekindling their interest until we need it.
on Feb 18, 2014, at 6:24 PM, "Belfi, Eric J."
Let us know what you find out.
Eric J. Belfi I Partner
Labaton sucharow LLP
140 Broadway, New York, New York 10005
T: (212) 907-0878
E: [email protected] I w:www, labaton.com
on Feb 18, 2014, at 6:23 PM, "Auld, Dominic J."
spoke with chris - strategy in place for the near-term, let’s manage the landscape as it presents itself. thanks
From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 6:12 PM To: Keller, christopher J.; Auld, Dominic J. Cc: Avan, Rachel subject: RE: ~
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Our application was with Baron & Budd. one of their lawyers was a former state Legislator and he had been working the political angle but we have not been able to get them to rule on now two RFPs. I had heard that there had been a second cleaning at ~ so I am not sure that we have any real strategy anymore. Damon does not have any contacts left there. Let me reach out to the lawyer at Baron & Budd to see if he has anything new to report.
From: Keller, christopher J. sent: Tuesday, February 18, 2014 6:08 PM To: Belfi, Eric 3.; Auld, Dominic 3. Cc: Avan, Rachel subject: RE: ~
We should discuss and strategize. Did we go in through Damon? Do we have an existing strategic relationship?
christopher J. Keller
Partner I Labaton sucharow LLP
140 Broadway, 34th Fl
New York, NY 10005
Ph. 212-907-0853
From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 5:42 PM To: Auld, Dominic J.; Business Development--Group Cc: Avan, Rachel Subject: RE: ~
Dom:
We still have an outstanding RFP with ~. Rachel can provide when it was submitted.
Eric
From: Auld, Dominic J. Sent: Tuesday, February 18, 2014 5:40 PM To: Business Development--Group Subject:~
Hi al I,
I’m meeting up with the~ on Thursday. I was introduced (and graciously recommended) last year by a mutual friend who is a partner at ~former firm (Davis Polk) and have seen her socially a couple of times before. Does anyone at the firm have historical contact with this entity that I should know about? Any context that might be helpful? Anyone else I should look up while in Austin?
Thanks
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Dominic 3. Auld
Partner
Labaton sucharow LP
140 Broadway
New York, NY, 10005
212 907 0619 - direct
917 515 2456 - mobile
www.labaton.com
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Message
From: /o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=belfie [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=BELFIE] Sent: 4/27/2014 8:21:22 PM To: Damon Chargois ([email protected]) [[email protected]] CC: Giulio de Tommaso ([email protected]) [gdetommaso@consiliumgroupadvisors,com] Subject: FW: Networking Potential
Damon:
you are always interested in opportunities so I am sending this email on behalf of a college classmate and good fi’iend of mine Giulio de Tommaso. I think there may be some opportunities with your Intemation~ connections to create an opporttutity for both you and Giulio.
If you are able to successfully assist Giulio in generating business, he is prepared to share between 10 to 15 percent of the transaction.
Here is an introduction cmail. Please let Giulio know if you have any questions:
1. Background
At the World Bank, Giulio dealt with Public Sector Management and Governance Reforms. This means that he assisted coua~try governments in their efforts to improve transparency, accountability and se,-vice deliveU. He was working specifically to strengthen public sector management systems within the executive branch, including the management of public finances and public employment.
But the work entails working to improve the broader governance environment within which the public sector operates, supporting institutions t-or public accountability, such as parliaments and offices of the ombudsman, and tracking improvements by measures of the rule of law, state legitimacy and trust in government institutions. Efforts to reduce the risk of corruption are prominent in both of these. To address the totality of this agenda, he put together a a multi sectoral, multifaceted team, with expertise in several areas (political science, economics, statistics, law, accountin5 IT, procurement, etc) to respond to these reform challenges.
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\Vhile his experience and that of his parmers is mostly in developing countries, many if not all countries in the world are confronted with similar problems. He knows for a t~act that European countries are looking to the developing world mad are coming up with very similar solutions to those that he is providing to his developing countU parmers.
He has assembled a teana that has a ton of experience in their respective fields. Some of his colleagues are world renowned experts. He has not come across any private consulting outfit that has the in-house experience in this area that he has been able to assemble. He also has incredible flexibility in terms of regional experience and language ability.
Here is a link to his website - http:i/consilicu~g’coupadvisors.comi
2. The Challenge
He believes that he can break in four ways:
1. Partner up with a known entity that has complementary experience, and go in as subcontractors.
2. Develop partnerships with educational instittuions and NGOs that have credibili~ but do not have the capacW to bid for consultmxcy projects
3. Introduce themselves to multilateral and financial institutions such as the World Bank, USAID, the Millennium Challenge Corporation (US), the Inter~-nerican Development Bank, the Asian Development Bank, the Africax~ Development Bax~k, DflD (UK), GIZ and GTZ (Germany), the Europem~ Community.
4. Lobby government restitutions (the ultimate users), so that when they do submit bids, they are familiar with their offer.
3. What I need:
tie needs people to help him get introduced to as many people in the four groups that he has highlighted, tie needs to develop cooperation and subcontracting agreements with potential parmers. He needs to meet decision makers in ministries and agencies, whether financing agencies (such as USAID, MCC, DFID, GTZ) that finance or commission work or in recipient agencies (ministries, utilities, etc.) who could be recipients of the advice.
Eric
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Message
From: Della Gatta, Gennaro [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=DELLAGAG ] Sent: 2/19/2015 3:37:39 PM To: Belfi, Eric J. [[email protected]]; Avan, Rachel [[email protected]] CC: Rogers, Denise R. [[email protected]]; Marketing Team [[email protected]] Subject: RE: Portfolio Monitoring Agreements - 2009 and Older Attachments: Arkansas RFQ (Cover letter and signed docs).pdf
Is this what: you were looking for?
From: Belfi, Eric J. Sent: Wednesday, February 18, 2015 7:25 PM To: Avan, Rachel Cc: Rogers, Denise R.; Marketing Team Subject: Re: Portfolio Monitoring Agreements - 2009 and Older
There no agreements signed before the winter of 2009.
Eric Belfi
Partner
Labaton Sucharow LLP
140 Broadway
New York, N.Y. 10005
o: 1.212.907.0878
c: 1.516.509.5236
On Feb 18, 2015, at 6:23 PM, Avan, Rachel
From: Rogers, Denise R. Sent: Wednesday, February 18, 2015 5:56 PM To.’ Marketing Team
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028711 Case 1:11-cv-10230-MLW Document 454-69 Filed 08/16/18 Page 2 of 2
C;c; Belfi, Eric J.; Avan, Rachel Subject= Portfolio Monitoring Agreements - 2009 and Older
Gennaro, we are trying to locate agreements signed by Arkansas Teacher Retirement System (ATRS) from 2005 to 2009.
Denise
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028712 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 1 of 12 Labaton Sucharow Eric J. Belfi Partner 212 907 0878 direct CHARGOIS & HERRON, L.L.P. 212 883 7078 fax ATTO~EYS A~" emai~ [email protected]
Damon J. Chargois Managing Partner 281 444 0604 telephone July 3O, 2OO8 281 440 0124 fax email [email protected] VIA F_EDERAL EXPRESS
Christa S. Clark Chief Counsel Arkansas Teacher Retirement System 1400 West Third Street Little Rock, AR 72201
Request For Qualifications For Outside Legal Counsel Securities Litigation, Class Action Monitoring and Advice; Asset Recovery
Dear Ms. Clark:
In response to the above-referenced Request for Qualifications (the "RFQ"), Labaton Sucharow LLP ("Labaton Sucharow") and Chargois & Herron, LLP ("Chargois & Herron") respectfully submit three stapled copies of our response, along with the required forms including: the Contact Data Sheet, the Contract and Grant Disdosure Certification Form, and the State of Arkansas Professional/Consultant Services Contract.
We believe that the resources, knowledge, integrity and experience of Labaton Sucharow and Chargois & Herron, will provide the Arkansas Teacher Retirement System ("ATRS") with outstanding securities litigation representation. We hope that we can be of further assistance to you in this matter. Please do not hesitate to contact us if you have any questions regarding our response to the RFQ.
Very truly yours,
Eric J. l’ Parmer Labaton Sucharow LLP
Damon J. Chargois Managing Partner Chargois & Herron, LLP
Chargois & Herron, LLP 2201 Timberloch Place, Ste, !!0, The Woodlands, TX 77380 281 444-0604 main 28! 440-0124 fax Labaton Sucharow LLP 140 Broadway, New York, NY 10005 212 907 0700 main 212 818 0477 fax www.labaton.com ,.4~,o.
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ARKANSAS TEACHER RETIREMENT SYSTEM
CONTACT DATA S~lgT FOR
REQUEST FOR PROPOSALS ("RFQ") FOR OUTSIDE COUNSEL
TO BE COMPLETED AND SUBMITTED WITH YOUR RESPONSE.
Lead attorney’s telephone no.:
Lead attorney’s facsimile no.:
Lead attorney’s e-mall address:
Firm Internet address:
Firm main switchbom-d no.: ZIZ
Firm main mailing address: I L~ 0
Firm main street address: I H 0 Yo k, Io 5
Lead attorney’s mailing address if different from above:
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028714 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 3 of 12
CONTACT DATA SHEET FOR
L REQUEST FOR PROPOSALS ("RFQ") FOR OUTS/DE COUNSEL
TO BE COMPLETED AND SUBMITTED WITH YOUR RESPONSE. Chargois & Herron, LLP Full legal firm name: Damon J. Chargois Name of lead attorney contact: 281 444-0604 Lead attorney’ s telephone no.: 281 440-0124 Lead attorney’s facsimile no.:
[email protected] Lead attorney’s e-mail address:
Firm Internet address:
Firm main switchboard no.: 281 444-0604
Firm main mailing address: 2201 Timberloch Place, Suite II0, The Woodlands, Tx 77380
Firm main street address: 2201 Timberloch Place, Suite ii0, The Woodlands, Texas 77380
Lead attorney’s mailing address if different from above:
Texas and Arkansas State where lead attorney licensed:
States where attorneys are licensed: Texas and Arkansas $350.00 Range of hourly rates proposed:
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CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM Failure to complete all of the following information mmf resul! in a d, ela~ in obtaining a contract, leaser purchase agreement, or grant award with, any Ar’Kar’-~,as State Agency. eU B4::ONTI~:TOR: SUBCONTRACTOR [~Yes I-INo L~bo,~q ~’u(,h~JO~J ~ IS THIS FOR: [] Goods? [] Services?r-~ Both?
AS A CONDITION OF OBTAINING, EXTENDING, AMENDING, OR RENEWING A CONTRACT, LF_ASE, PURCHASE AGREEMENT~ OR GRANT AWARD WITH ANY ARKANSAS STATE AGENCY~ THE FOLLOWING INFORMATiON MUST BE DISCLOSED:
FOR INDIVIDUALS* Indicate below if: you, your spouse or the brother, sister, parent, or child of you or your spouse is a current or former: member of the General Assembly, Constitutiona~ Officer, State Board or Commission 11 Member, or Stat~ Employee:
What is the person(s) name and how are they related to you? Name of Position of Job Held For How Long? Position Held [senator, rspresentat~=, name of [i.e., Jane Q. Public, spouse, John Q. Public, Jr., child, etc.] board/commission, data entry, etc.] From To MM/YY MM/YY Person’s Name(s) RetatJon General Assembly
Constitutional Officer State Board or Commission ~MCmb~r State Employee
~ None of the above applies FOR AN ENTITY (BUSINESS)* Indicate below if any of the fottowing persons, current or former, hold any posit]on of control or hold any ownership Interest of 10% or greater In the entity:, member of the General Assembly, Constitutional 11 Officer, State Board or Commission Member, State Employee, or the spouse, bro~ero sister, parent, or chad of a member of the General Assembly, Constitutional Officer, State Board or Commission Memberr or State EmpIo~(ee. Position o~ control means the power to direct the purchasi ~j policies or influence the manz~ement of the entity. Mark (q) Name of Position of Job Held For How Long? What is the parson(s) name and what is his/her % of ownership interest and/or Position Held [senator, rep~=sen,’~;-,~, nsme of what is his/her p~sition of control? Current Former boatd/cornrr~ss}on, data entry, From To Persot~’s Name(s) Ownership Position of M M,’YY MM/YY Interest/%1 ConL,’ol General Assembly
Constitutional Officer State Board or Commission Member State Employee None of the above applies Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 5 of 12
Contract and Grant Disclosure and Certification Form
Failure to make any disclosure re~ Governor’s Executive Order 98-04 or an violation o an rule re ulation or oli adopted pursuant to that Order, shall be a material breach___~f the terms o_f this contract. An!~ contractor~ whether an individual or enti~ails to make the retluired disclosure or who violates an rule re lation or oli shall be subject to all legal remedies available to the a~encv.
As an additional condition of obtaining, extending, amending, or renewing a contract with a sta~Ia~ree as follows: Pdor to entering into any agreement with any subcontractor, prior or subsequent to the contract date, I w~l~ require the subcontractor to complete a CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM. Subcontractor shall mean any person or entity with whom I enter an agreement whereby I assign or otherwise delegate to the person or entity, for consideration, all, or any part, of the performance required of me under the terms of my contract with the state agency.
2. I will include the following language as a part of any agreement with a subcontractor:
Failure to make any disclosure required by Governor’s Executive Order 98-04, or any violation of any rule, regulation, or policy adopted pursuant to that Order, shall be a material breach of the terms qf this subcontract. The party who fails to make the required disclosure or who violates an), rule, regulation, or policy shall be subject to all legal remedies available to the contractor.
No later than ten (10) days after entering into any agreement with a subcontractor, whether pdor or subsequent to the contract date, I will mail a copy of the CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORM completed by the subcontractor and a statement containing the dollar amount of the subcontract to the state agency.
I certih/under penaltF of/~eriurv, to the best of my knowledge and belief, all of the above information is true and correct and ~ to the subcontractor disclosure conditions stated herein. Signature ~ Title P~’~’~,,(" Date~.~O/(~
Vendor Contact Person ~----r/(-- ~,~,’~ Title ~"~O..F Phone No.~
A~eocvonl~v use Agency Agency Agency Contact Contract Number Name Contact Person Phone No. or Grant No. Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 6 of 12
ADDRESS: 2201 Timberloch Place, Suite Ii0 The Woodlands TX 77380 USA CITY: STATE: ~P CODE: COUNTRY: AS A.t~,ONDITION OF OBTAINING, ~D(TENDING, AMF.NDING, OR RENEWING A ~,ONTRACT, LEASE, PURCHASE AGREEMENT, OR GRANT AW~.R~) .IMTH ANY,A,R..~. NSAS STATE AGENCY~ THE FOLLOWING INFORMATION MUST BE DISCLOSE~ FOR INDIVIDUALS* Member, or S~e Emp~yee: What is the per~=~s) name end how a~e t~ey related to ~? Man~ (q) Name of Posit~m of Job HeM For How Long? Position Held ~.e., ~ Q. Pu~, ~, ~ Q. ~i~ Jr., ~i~, e~.] Fr~n To MM/YY MM/YY P~’s ~s) General Assembly Constitutional State Board o~ Commission Member State
None of tf~e above FOR AN ENTITY (BUSINESS)*
What i~ the pen=~n(s) r~rne and what ~ ht~her % of ownership ~tere~ and/or For HOW Long? what is hts,~er po~tlo~ of control? From To Person’s Name(s) Ownership Pos~on of
General Assem~y
Constitutional Oftk~r
Member State Employee [] None of the abov~ applies Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 7 of 12
Contract and Grant Disclosure and Certification Form
As an additional co,nd~tion of obtainlng~ extendin~, amendhm, or renewine a contract with a ~a:e aeen~ I a~ree as follow~: Pdor to entedng into any agreement with any subcontractor, prior or subsequent to the contract date, I will require the subcontractor to complete a CONTRACT AND GRAwr DlSCLOSLIRE ANO CER~--~i~TION FOR~. Subcontractor shall mean any person or entity with whom I enter an agreement whereby I assign or othen~ise delegate to the person or entity, for consideration, all, or any part, of the performance required of me under the terms of my contract with the state agency.
2. I will include the following language as a part of any agreement with a subcontractor:
Failure to make any disclosure required by Governor’s Executive Order 98-04, or any violation of any rule, regulation, or policy adopted pursuant to that Order, shall be a material breach of the terms of this subcontract. The party who fails to make the required disclosure or who violates any rule, regulation, or policy shall be subject to all legal remezh’es available to the contractor. No later than ten (10) days after entedng into any agreement with a subcontractor, whether prior or subsequent to the contract date, I will mail a copy of the CONTRACT AND GRA~r DISCLOSURE AND CERTIFICATION FORM completed by the subcontractor and a statement containing the dollar amount of the subcontract to the state agency.
! certify under ~enalW of t~erlurv, to the best o~ ~e and belief, aft of the above information is true and correct and ~hat I agree to tits sub~o~tra~o~ disclosure cotLdi//ons stated herein. 07-21-08 Signature’\\’//f--~’J~e’~-~’~//- Title part~er Date /! (281) 444-0604 ~a~on Chargois Vendo~ Conta~ P~ ]~Ue partner Phone No.
Aqencv use Age ncy Agency Agency Con tact Co ntract Number Name Contact Person Phone No. or Grant No. Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 8 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
YES NO
PROCUREMENT: Check appropriate box below for the method of procurement for this contract: ABA Criteria [] Request for Proposal [] Competitive Bid [] Request for Qualifications Intergovernmental [] Emergency [] Sole Source by Justification [] (Must be attached). Sole Source by intent to Award [] Sole Source by Law [] Act # or Statute #
DATES~ PARTIES: The term of this agreement shall begin on and shall end on
State of Arkansas is hereinafter referred to as the agency and vendor is here after referred to as the Contractor.
Labaton Sucharow LLP 140 Broadway. New York. NY 10005
CALCULATIONS OF COMPENSATION: For work to be accomplished under this agreement, the Contractor agrees to provide the personnel at the rates scheduled for each level of consulting personnel as listed herein. Calculations of compensation and reimbursable expenses shall only be listed in this section. If additional space is required, a continuation sheet may be used as an attachment.
Labaton Sucharow and Chargois and Herron will only be compensated on a contingency fee basis after court approval at the end of a case. Please refer to response in Section 5.10 for billing rates for all legal professionals.
Senior Parmers need info Junior Parmers need info Senior Associates need info Junior Associates need info Parale~als need info
Total compensation exclusive of expense reimbursement
Total reimbursable expense $
Total compensation inclusive of expense reimbursement $
FORM OSP-1 Page 1 of 5 07101105
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028720 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 9 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
4. SOURCE OF FUNDS: Complete appropriate box(us) below to total 100% of the funding in this contract.
Identify the source of funds for the following:
MUST BE SPECIFIC (i.e. fees, tuition, agricultural sales, bond proceeds, donations, etc.)
Labaton Sucharow and Chargois & Herron will advance all litigation costs and expect to be reimbursed for those costs only at the end of a case with the approval of the Court, and only out of the total class recovery. In a class action case, reimbursement could range from several hundred thousand dollars to several million dollars, depending on the length and complexity of the case involved.
RENDERING OF COMPENSATION: The method(s) of rendering compensation and/or evaluation of satisfactory achievement toward attainment of the agreement listed herein is as follows, or in attachment no. __ to this agreement.
As the en ag#gement ofLabaton Sucharow and Char~ois & Herron is on a fully contingent basis, any fee awarded would be subject to Court approval, and only then after review and approval b7 the client.
OBJECTIVES AND SCOPE: State description of services, objectives, and scope to the provided. (DO NOT USE "SEE ATTACHED")
Class action securities litigation and related portfolio monitorin~ services represent Labaton Sucharow’s pnncipal practice area and source of revenue. The firm has substantial experience in advising public pension plans and other institutional investors with regard to securities fraud matters, and has served as lead counsel in numerous securities class actions. Labaton Sucharow also monitors portfolios of state and institutional public pension plans in excess orS1 trillion dollars. Labaton Sucharow’s portfolio monitorin~ services would be provided to ATRS at no cost. Labaton Sucharow seeks to provide securities litigation, class action monitorin~ and advice services on behalf of the ATRS.
PERFORMANCE STANDARDS: List Performance standards for the term of the contract (if necessary, used attachments)
As class action attorneys working; on a contingency fee basis, the amount of our compensation is directly related to the dezree of success in the litigation.
FORM OSP-1 Page 2 of 5 07/01105
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028721 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 10 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
8. ATTACHMENTS: List ALL attachments to this contract by attachment number:
CERTIFICATION OF CONTRACTOR
A. ’% Eric 3. Belfi (Contractor) (Title) certi~ under penalty of perjury that, to the beat of my knowledge and belief, no regular full-time or part- time employee of any State agency of the State of Arkansas will receive any personal, direct or indirect monetary benefits which would be in violation of the law as a result of the execution of this contract." Whore the contractor is a widely-held public corporation, the term ’direct or Indirect monetary benefits’ "shall not apply to any regular corporate dividends paid to a stockholder of said corporation who is also a State employee and who owns less than ten percent (t0%) of the total outstanding stock of the contracting corporation."
B. List any other contracts or subcontracts you have with any other state government entities. (Not applicable to contracts between Arkansas state agencies.)
Are you currently engaged in any legal controversies with any state agencies or represent any clients engaged in any controversy with any Arkansas state agency?
Neither me, Eric J. Belfi, nor Labaton Sucharow is currently engaged in any legal controversies with any state agencies and do not represent any clients engaged in any controversy with any Arkansas state a~enc¥.
The contractor agrees to list below, or on an attachment hereto, names, addresses, and relationship of those persons who will be supplying services to the state agency at the time of the execution of the contract, if the names are not known at the time of the execution of the contract, the contractor shall submit the names along with the other information as they become known. Such persons shall, for all purposes, be employees or independent contractors operating under the control of the contractor (sub- contractors), and nothing herein shall be construed to create an employment relationship between the agencies and the persons listed below.
Please see section 5.7 of the attached response for the attorneys who would be assi£,ned to a securities litigation matter on behalf of the ATRS. Other professionals who would be assimaed are: Jean Bliss Parale~al Manager Danette McKenzie Assistant Parale~al Manager
Eo The agency shall exercise no managerial responsibilities over the contractor or his employees, in carrying out this contract, it is expressly agreed that there is no employment relationship between the contracting parties,
FORM OSP-1 Page 3 of 5 0710tl05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028722 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 11 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
10, DISCLOSURE REQUIRED BY EXECUTIVE ORDER 98-04: Any contract or amendment to a contract executed by an agency which exceeds $25,000 shall require the contractor to disclose information as required under the terms of Executive Order 98-04 and the Regulations pursuant thereto. The contractor shall also require the subcontractor to disclose the same information. The Contract and Grant Disclosure and Certification Form (Form PCS-D attachment 11-10.3) shall be used for this purpose.
Contracts with another government entity such as a state agency, public education institution, federal government entity, or body of a local government are exempt from disclosure requirements.
The failure of any person or entity to disclose as required under any term of Executive Order 98-04, or the violation of any rule, regulation or policy promulgated by the Department of Finance and Administration pursuant to this Order, shall be considered a material breach of the terms of the contract, lease, purchase agreement, or grant and shall subject the party failing to disclose, or in violation, to all legal remedies available to the Agency under the provisions of existing law.
11. NON-APPROPRIATION CLAUSE:
"in the event the State of Arkansas fails to appropriate funds or make monies available for any biennial period covered by the term of this contract for the services to be provided by the contractor, this contract shall be terminated on the Isst day of the last biennia! period for which funds were appropriated or monies made available for such purposes.
This provision shall not be construed to abridge any other right of termination the agency may have."
12. TERMS: The term of this agreement begins on the date in SECTION 2 and will end on the date in SECTION 2, and/or as agreed to separately in writing by both parties.
This contract may be extended until , in accordance with the terms stated in the Procurement, by written mutual agreement of both parties and subject to: approval of the Arkansas Department of Finance and Admin|stration/Director of Office of State Procurement, appropriation of necessary funding, and review by any necessary state or federal authority.
Amendments to contracts will require review by Legislative Council or Joint Budget Committee prior to approval by the Department of Finance and Administration/Director of Office of State Procurement if the original contract was reviewed by Legislative Council or Joint Budget Committee and the amendment increases the dollar amount or involves major changes in the objectives and scope of the contract.
Amendments (to contracts that originally did not require review by Legislative Council or Joint Budget Committee) which cause the total compensation to exceed the sum of $25,000, sha~l require review by the Legislative Council or Joint Budget Committee, prior to the approval of the Department of Finance and Administration/Director of Office of State Procurement and before the execution date of the amendment.
This contract may be terminated by either party upon 30 day written notice, unless otherwise agreed by both parties.
13. AUTHORITY: A. This contract shall be governed by the Laws of the State of Arkansas as interpreted by the Attorney General of the State of Arkansas and shall be in accordance with the intent of Arkansas Code Annotated §t 941-1001 et seq.
Any legislation that may be enacted subsequent to the date of this agreement, which may cause all or any part of the agreement to be in conflict with the laws of the State of Arkansas, will be given proper consideration if and when this contract is renewed or extended; the contract will be altered to comply with the then applicable laws.
FORM OSP-1 Page 4 of 5 07/0t/05
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028723 Case 1:11-cv-10230-MLW Document 454-70 Filed 08/16/18 Page 12 of 12
STATE OF ARKANSAS PROFESSIONAL/CONSULTANT SERVICES CONTRACT
AGENCY COORDINATION: The Agency Representative coordinating the work of this contractor will be:
(NAME) (TITLE) (TELEPHONE #)
Mail approved contract to:
Agency agrees to make available advice, counsel, data, and personnel, etc. as described immediately below or in Attachment number to this agreement.
15. AGENCY SIGNATURE CERTIFIES NO OBLIGATIONS WiLL BE iNCURRED BY A STATE AGENCY UNLESS SUFFICIENT FUNDS ARE AVAILABLE TO PAY THE OBLIGATIONS WHEN THEY BECOME DUE.
16. TYPE OF CONTRACT: PROFESSIONAL ~ CONSULTANT []
SIGNATURES
AGENCY DIRECTOR DATE
Partner TITLE TITLE
140 Broadway New Yo~k, NY 10005 ADDRESS ADDRESS
Partner TITLE 2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380
1021 W. Second Street Little Rock. Arkansas 72201 ADDRESS
APPROVED: DEPARTMENT OF FINANCE AND ADMiNISTRATiON DATE
FORM OSP-1 Page 5 of 5 0710!105
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS028724 Case 1:11-cv-10230-MLW Document 454-71 Filed 08/16/18 Page 1 of 1 Case 1:11-cv-10230-MLW Document 454-72 Filed 08/16/18 Page 1 of 1
Message
From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/9/2015 2:39:01 PM To: Belfi, Eric J. [[email protected]] Subject: Fwd: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09 (3) Attachments: Ltr to Eric Belfi and Chris Keller- Draft Agreement 04-07-09 (3).doc; ATTOOOOl..htm
Here was my return draft. Importantly I changed the venue for any dispute to arbitration in Texas or New York. So at least we’re out of court.
Christopher Keller Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 212-907-0853
Begin forwarded message: From: "Keller, Christopher J."
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS029575 Case 1:11-cv-10230-MLW Document 454-73 Filed 08/16/18 Page 1 of 1
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS029576 Case 1:11-cv-10230-MLW Document 454-74 Filed 08/16/18 Page 1 of 3
CHARGOIS & HERRON, L.L.P. ATTORNEYS AT LAW
2201 Timberloch Place Suite 110 The Woodlands, Texas 77380
Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, LL.M., Ph.D~ ~ Facsimile: 281 440-0124 Kamran Mashayekh ~ Kirk A. Chargois~ Carlos A. Fernandez ~ **Licensed in Arkansas & Texas *Licensed in Texas
April 7, 2009
Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New York, NY 10005
RJ~;: Institutional Investor Business Development Agreement
Dear Eric and Chris:
I hope you gn_~ys m-e doing well up there. Below is my attempt to put our ongoing business relationship in writing.
This letter is to fo~Tnalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation.__{~2_.Ql__i___cL~?__t_~_~), brought or introduced to Labaton, Sucharow, LLP (Labaton), via the activities or connections of members of Cha;gois, Mashayekh & tterron, LLP, or its agents, assigns, personal relations, or contacts (CI~,KI).
To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to ftmds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chazgois & Hen-on, LLP and Chargois, Mashayekh & Helron, LLP’s contacts or relations going forward.
[ PAGE ] of [ NL~MPAGES ]
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS029577 Case 1:11-cv-10230-MLW Document 454-74 Filed 08/16/18 Page 2 of 3
where one or more clients may be represented by Labaton Sucharow m a particular case and a ~e may be owed to ofl~er associalm~ counsel In fl~at event, lhe amount of lhe Fee may be reduced commensurate wifl~ the cont~buto~w losses of lhe severed clients represented by Laba~on Sucharow. For instance if I~aba~on Suchar~w files a mol~on fc~r the appointment of lead plaml~ffx~th two
such an’an}>’ment, however, sha~ be disclosed and aBxeed to at Om ~cepfion of the case or at snch later date if fl~e need for addifionM or substitute clients later arises. Labaton Sucharow ~md CMH are free to Nscuss ofl~er melhodolog~es for an allocation of fl~e Fee under fl~e m@iple lead-plmnfiff scena:no a~ their mutuM disc:mliom
percent (15%) of an overall plaintiff class award t0talin~ $25 million or less. CN{tl~s Fee will fall to tcn_]2__C_’L%C_2Ll._£_l__~)~_(_q):- ~ Formatted: Indent: First line: 0"
It is agreed that C.,’X~[[{ will not bare any costs, expenses or payments of any kk~d whatsoever in ~elafion to the exarrfinalion or invesligation of a potential cause of action, lhe litig,’ttion of the acdon or any othec related costs, expenses or pa~-ments,
fin~s may contah~ confidential infom~ation, such as client lists, fim~ strate!des, litigation strategies and olher sensitve informaton constitutes confidential and/or privilegyd reformation. Each of the parties mutu,~dly agree ~}mt they shall not use or disclose such confidential m~o~xnalion for
;¼~y dispute between tt~e parties hereto sha]l be resolved by arbitration conducted pursuant to the applicable r~fles of the _&~erican Arbitration Association in Galvesto~ Ccam~, Texas or New Yurk Cih~. New York. In a~U suct~ arbitraton. Om arbitrator is auO~o~zcd to award attorney’s fees m the ~reva~[mgparly or pa:oies if~the arbjtmlor finds lBat lh e positon: of~lBe olher pa~y o:r pa ~lies
...... was maintained m bad failB.
Texas.
[ PAGE ] of [ NL~MPAGES ]
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS029578 Case 1:11-cv-10230-MLW Document 454-74 Filed 08/16/18 Page 3 of 3
Damon J. Chargois, Chargois, Mashayekh & tterron, LLP
b;ric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucha~ow, LLP
[ PAGE ] of [ NL~MPAGES ]
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS029579 Case 1:11-cv-10230-MLW Document 454-75 Filed 08/16/18 Page 1 of 1
Message
From: Hollingsworth, Jarvis [[email protected]]
Sent: 1/25/2008 1:24:08 PM To: Belfi, Eric J. [[email protected]] CC: [email protected]
Subject: Re: Houston
Eric Thanks for reaching out. That’ s a tough day-booked solid, catch me next time. Best Jarvis
..... original Message From: Belfi, Eric J.
Dear Jarvis:
I will be in Houston next Thursday (31st) and I was wondering if you would be available to go to lunch or meet at your office with Damon and I.
Best regards,
Eric
Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com
***Privilege and confidentiality Notice***
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030324 Case 1:11-cv-10230-MLW Document 454-76 Filed 08/16/18 Page 1 of 1
Message
From: Hollingsworth, Jarvis [[email protected]]
Sent: 6/10/2008 12:36:14 AM To: Belfi, Eric J. [[email protected]] CC: [email protected] Subject: Re: Meeting
Eric Hope things are well. unfortunately that is a very busy day for me. Pls contact me the next time you are in town and we will get together. Best Jarvis
..... original Message ..... From: Belfi, Eric J.
Dear Jarvis:
I am planning on being in Houston next Monday (June 16th) and I was wondering if you have time for a visit with Damon and I?
Regards,
Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway
New York, New York 10005 Phone: +1.212.907.0878 Fax: +1.212.883.7078 [email protected] ~w.labaton.com
*~*Privilege and confidentiality Noti
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030325 Case 1:11-cv-10230-MLW Document 454-77 Filed 08/16/18 Page 1 of 2 Case 1:11-cv-10230-MLW Document 454-77 Filed 08/16/18 Page 2 of 2 Case 1:11-cv-10230-MLW Document 454-78 Filed 08/16/18 Page 1 of 2
Message
From: Damon Chargois [[email protected]]
Sent: 9/1/2009 4:31:19 PM To: Belfi, Eric J. [[email protected]]; Tim Herron [tim@cmhllp,com] Subject: RE: ~ and ~- Monitoring Agreements
Thank you, Eric. We are also confirming our agreement that any attorney fee award realized by your firm as a result of representing either of these funds, or any related funds where Labaton’s representation came about as a result of Chargois, Mashayekh & Herron’s efforts and/or contacts (or our agents, assigns, friends, etc.) will be treated the same as our agreement on the Arkansas Teacher Retirement Fund, namely that gross attorney fees will be divided 80/20 (80% to Labaton, Sucharow and 20% to Chargois, Mashayekh & Herron).
From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, September 01, 2009 11:19 AM To-" Damon Chargois; Tim Herron Subject-" ~ and ~ - Monitoring Agreements
Damon/Tim:
Attached please f-rod the Word axed PDF versions of the monitoring agreements for ~ and ~.
I,et me know if you need anything else.
Eric
***Privilege and Confi dentiality Notice***
This electronic message contains information that is (a) LEGALI,Y PRIVII,EGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030663 Case 1:11-cv-10230-MLW Document 454-78 Filed 08/16/18 Page 2 of 2
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030664 Case 1:11-cv-10230-MLW Document 454-79 Filed 08/16/18 Page 1 of 1
Message
From: Elaine Doyal [[email protected]]
Sent: 10/29/2009 8:02:06 PM To: Belfi, Eric J. [[email protected]] Subject: FW: Correspondence
Attachments: Ltr to Eric Belfi- 10-29-09.pdf
From: Elaine Doyal Sent: Thursday, October 29, 2009 12:34 PM To; ’Belfi, Eric J.’ Co: Damon Chargois Subject: Correspondence Dear Mr. Belfi:
Please see attached correspondence.
Sincerely,
M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Facsimile
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444- 0604 or take steps necessary to delete the message completely from your computer system. Thank you.
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030669 Case 1:11-cv-10230-MLW Document 454-80 Filed 08/16/18 Page 1 of 1
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030670 Case 1:11-cv-10230-MLW Document 454-81 Filed 08/16/18 Page 1 of 2
CHARGOIS & HERRON, LL.P. A’rTORN~:¥S AT LAW
2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380
Damon Chargois Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, L.L.M., Ph.D. Facsimile: 281 440-0124 Kamran Mashayekh Kirk A. Chargois
~Board Certified - Texas Civil Trial Law
October 29, 2009
Via E-M-all to ebelf!@]abaton.com and U.S. Regular Mail Eric Belfi Labaton Sucharow 140 Broadway New York, New York 10005
RE: In Re Litigation
Dear Eric:
As we have discussed both recently and in September, Frank Stout is not %vith our office". He is also not an attorney, legal assistant or paralegal. He is Tim’s son-in-law who I of his current or former
After receiving a call from you about your concern regarding Frank’s status, I investigated and determined that Frank was not, and had never, held himself out as being with any law firm-- yours or anybody else’s. I learned from our September telephone conversation that your office had contacted one of Frank’s friends who indicated to rou a desire to know what he stood to gain, or possibly lose, from pursuing a claim against
You told me that he was confused about how he could benefit from pursuing a claim and that the source of his confusion may have come via a prior conversation with Frank. This would be understandable, because Frank knows nothing about law or the practice of law.
In an abundance of caution, after speaking with you, I spoke to Frank and told him to stop speaking with his friends about this subject and not to worry about it anymore.
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030671 Case 1:11-cv-10230-MLW Document 454-81 Filed 08/16/18 Page 2 of 2
I regret that you no longer wish to associate with my firm and believe that you are overreacting; nevertheless, I will honor your request.
One issue remains, however. I have already sent you a client class action litigation and both of our firms represent him. I foun friend of ~nine who has no connection to Frank whatsoever. He and Mike do not know Frank at all.
Based on your letter, I suppose you will be informing and the Court (if you have filed his case) that you are withdrawing representation. Please forward his file to my office immediately, so that we can get up to speed on what you have done on his behalf.
Yours truly,
CHARGOIS & HERRON, LLP
Damon J. Chargois DJC/med
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CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030672 Case 1:11-cv-10230-MLW Document 454-82 Filed 08/16/18 Page 1 of 2
Message
From: Elaine Doyal [[email protected]]
Sent: 11/13/2012 5:12:11 PM To: Kamran Mashayekh [[email protected]]; Graciela Saenz [[email protected]]; Elizabeth Burkhardt [[email protected]]; Damon Chargois [[email protected]]; Belfi, Eric J. [[email protected]] Subject: Conference Call for today at 3:30 p.m. cst
Good morning, all:
For the purpose of the conference call today which has now been scheduled for 3:30 p.m. central time, the following is the Dial-In Information needed to participate:
Telephone: 1-800-430-0714 Passcode: 4440604.
Please let me know if you have any questions.
Sincerely,
M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Facsimile
This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b)
intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby
notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-
0604 or take steps necessary to delete the message completely from your computer system. Thank you.
From: Kamran Mashayekh Sent: Tuesday, November 13, 2012 10:58 AM To; Graciela Saenz; ’Elizabeth Burkhardt’; Damon Chargois Cc-" Elaine Doyal; [email protected] Subject: RE: Great job Gracie and Elizabeth and plans for next friday Thank you Gracie and elaine, may you please circulate a call in number for today at 2:30 pm central time..
appreicate everyone’s help and participation...
From: Graciela Saenz [mailto:[email protected]] Sent: Tue 11/13/2012 9:54 AM To-’ Kamran Mashayekh; ’Elizabeth Burkhardt’; Damon Chargois Subject: RE: Great job Gracie and Elizabeth and plans for next friday
CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030688 Case 1:11-cv-10230-MLW Document 454-82 Filed 08/16/18 Page 2 of 2
Let’s schedule for something after 2 p,m, today. 1 will be at Elizabeth’s place to worl< on some files. Thanl From; Kamran Mashayekh [mailto:[email protected]] Sent: Friday, November 09, 2012 3:57 PM To: [email protected]; Elizabeth Burkhardt; Damon Chargois Subject-" RE: Great job Gracie and Elizabeth and plans for next friday Gracie and Elizabeth: Fabulous job today even though I was only there in spirit and not in body. Eric is flying in at 11:56 am next friday and Damon will pick him up and bring him to the lunch meeting wherever you decide that location shall be. In an abundance of caution, is it possible to schedule the lunch for one pm or better one thirty pm as to give eric sufficient time to get there and to make allowances for any unforseen contingencies and delays that might be associated with flying? As AI says: UAL- you aint leaving airlines can be so a propos in this instance. Also, it behooves us to have a call with eric before friday as to brush up on any loose ends that might be out there, but the way it appears is that you two have done a fabulous job in selling labaton and all eric has to do is to convince GV that time is of the essence and their engagement will serve the highest and best interest of his organization. With the above rant, I thank you both and wish you a happy weekend. Senor K Saenz CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030689 Case 1:11-cv-10230-MLW Document 454-83 Filed 08/16/18 Page 1 of 3 Message From: Elizabeth Burkhardt [[email protected]] Sent: 11/20/2012 1:00:01 AM To: ’Kamran Mashayekh’ [[email protected]]; ’Graciela Saenz’ [[email protected]]; ’Damon Chargois’ [[email protected]]; Belfi, Eric J. [[email protected]] CC: ’Elizabeth Burkhardt’ [[email protected]] Subject: RE: LABATON - Other Potential Clients ERIC: It was nice meeting you, Thank you for finding the time to meet at this stressful time in your life (e,g, Sandy fall-- out)° While I am hopeful that we will deliver the ~ account in the not so dist~nt future, ~ would Hke to pursue the other potential clients to which you alluded in our last phone conversation. You might recall telling me you had some Meas about where we should next focus our efforts, Look forward to your suggestions, Have a great Thanksgiving. Elizabeth Burkhardt From: Kamran Mashayekh [mailto:[email protected]] Sent: Tuesday, November 13, 2012 6:48 PM To: Elaine Doyal; Graciela Saenz; Elizabeth Burkhardt; Damon Chargois; [email protected] Subject: RE: Confirmation of meeting at cheesecake factory in the Woodlands at one pm on friday nov. 16 Good Evening All: By way of this email, I am confirming our friday meeting at the Cheesecake factory in the WOODLANDS with GV. Eric, you should have plenty of time to get to the meeting since CCF Woodlands location is close to the airport. Best Kamran From: Elaine Doyal Sent: Tue 11/13/2012 11:12 AM To: Kamran Mashayekh; Graciela Saenz; ’Elizabeth Burkhardt’; Damon Chargois; [email protected] Subject: Conference Call for today at 3:30 p.m. cst Good morning, all: CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030690 Case 1:11-cv-10230-MLW Document 454-83 Filed 08/16/18 Page 2 of 3 For the purpose of the conference call today which has now been scheduled for 3:30 p.m. central time, the following is the Dial-In Information needed to participate: Telephone: 1-800-430-0714 Passcode: 4440604. Please let me know if you have any questions. Sincerely, M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Facsimile This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee{s) named herein. If you are not the Addressee(s), or the person responsible for deliverinl~ this to the Addressee{s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444- 0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Kamran Mashayekh Sent: Tuesday, November 13, 2012 10:58 AM To: Graciela Saenz; ’Elizabeth Burkhardt’; Damon Chargois Co: Elaine Doyal; [email protected] Subject: RE: Great job Grade and Elizabeth and plans for next friday Thank you Gracie and elaine, may you please circulate a call in number for today at 2:30 pm central time.. appreicate everyone’s help and participation... CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030691 Case 1:11-cv-10230-MLW Document 454-83 Filed 08/16/18 Page 3 of 3 From: Graciela Saenz [mailto:[email protected]] Sent: Tue 11/13/2012 9:54 AN To: Kamran Mashayekh; ’Elizabeth Burkhardt’; Damon Chargois Subject: RE: Great job Gracie and Elizabeth and plans for next friday Lets schedule for something after 2 pomo today, I will be at: E[izabet:hs place to work on some files, Thanks, Gracie From: Kamran Mashayekh [mailto:[email protected]] Sent: Friday, November 09, 2012 3:57 PM To: saenzassociates@_g__m.____a_jJ:.__c___o____m_; Elizabeth Burkhardt; Damon Chargo~s Subject: RE: Great job Gracie and Elizabeth and plans for next friday Gracie and Elizabeth: Fabulous job today even though I was only there in spirit and not in body. Eric is flying in at 11:56 am next friday and Damon will pick him up and bring him to the lunch meeting wherever you decide that location shall be. In an abundance of caution, is it possible to schedule the lunch for one pm or better one thirty pm as to give eric sufficient time to get there and to make allowances for any unforseen contingencies and delays that might be associated with flying? As AI says: UAL- you aint leaving airlines can be so a propos in this instance. Also, it behooves us to have a call with eric before friday as to brush up on any loose ends that might be out there, but the way it appears is that you two have done a fabulous job in selling labaton and all eric has to do is to convince .that time is of the essence and their engagement will serve the highest and best interest of his organization. With the above rant, I thank you both and wish you a happy weekend. Senor K Saenz CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030692 Case 1:11-cv-10230-MLW Document 454-84 Filed 08/16/18 Page 1 of 5 Message From: /o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=belfie [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=BELFIE] Sent: 11/20/2012 1:27:45 PM To: Elizabeth Burkhardt [[email protected]]; ’Kamran Mashayekh’ [[email protected]]; ’Graciela Saenz’ [[email protected]]; ’Damon Chargois’ [[email protected]]; Belfi, Eric J. [[email protected]] Subject: RE: LABATON - Other Potential Clients Elizabeth: It was a pleasure meeting you and Gracie and I look forward to working with you on I hopefully soon° As fo[ or:her target:s, please find a list bek~w of funds that: we would be interested in Texas: CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030706 Case 1:11-cv-10230-MLW Document 454-84 Filed 08/16/18 Page 2 of 5 Eric Eric ,L Belfi pSrtner Labaton Sucharow LLP $40 Broadway New York, N.Yo Telephone: +1o212.907o0878 Facsimile: +1o212,883o7078 www.labatonocom From: Elizabeth Burkhardt [mailto:[email protected]] Seat: Monday, November 19, 2012 8:00 PM To: ’Kamran Mashayekh’; ’Graciela Saenz’; ’Damon Chargois’; Belfi, Eric Co: ’Elizabeth Burkhardt’ Subject; RE: LABATON - Other Potential Clients ERIC: H: was nice meeting you, Thank you for finding the time to meet at: this stressful time in your life (eog, Sandy faIF out}. While I am hopeful that we will deliver thelccount in the not so distant future, I would like to pursue the other potential clients to which you alluded in our last phone conversation° You might recall telling me you had some ideas about where we should next focus our efforts. Look forward to your suggestions, Have a great Thanksgiving. Elizabeth Burkhardt CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030707 Case 1:11-cv-10230-MLW Document 454-84 Filed 08/16/18 Page 3 of 5 From: Kamran Mashayekh [mailto:kamran@cmh!/p.com] Sent: Tuesday, November 13, 2012 6:48 PM To: Elaine Doyal; Graciela Saenz; Elizabeth Burkhardt; Damon Chargois; [email protected] Subject: RE: Confirmation of meeting at cheesecake factory in the Woodlands at one pm on friday nov. 16 Good Evening All: By way of this email, I am confirming our friday meeting at the Cheesecake factory in the WOODLANDS with GV. Eric, you should have plenty of time to get to the meeting since CCF Woodlands location is close to the airport. Best Kamran From: Elaine Doyal Sent: Tue 11/13/2012 11:12 AM To; Kamran Mashayekh; Graciela Saenz; ’Elizabeth Burkhardt’; Damon Chargois; _e_____b_._e__!__f_i_@_!__a___b___a___t___.o___n___,___c_._o_____m___ Subject; Conference Call for today at 3:30 p,m, cst Good morning, all: For the purpose of the conference call today which has now been scheduled for 3:30 p.m. central time, the following ~s the Dial-In Information needed to participate: Telephone: 1-800-430-0714 Passcode: 4440604, Please let me know if you have any questions. Sincerely, CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030708 Case 1:11-cv-10230-MLW Document 454-84 Filed 08/16/18 Page 4 of 5 M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Facsimile This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED [3Y LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444- 0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Kamran Mashayekh Sent: Tuesday, November 13, 2012 10:58 AM To; Graciela Saenz; ’Elizabeth Burkhardt’; Damon Chargois Cc: Elaine Doyal; [email protected] Subject: RE: Great job Gracie and Elizabeth and plans for next friday Thank you Gracie and elaine, may you please circulate a call in number for today at 2:30 pm central time.. appreicate everyone’s help and participation... From: Graciela Saenz [-m.~.a..j!..t...Q1~-a.~.e.~.n....z...a..~..~....c.i..a....t..e.~.s.~@.g~.aJ.!.:~.c.~.o.~..m..] Sent: Tue 11,/13/2012 9:54 AM To: Kamran Mashayekh; ’Elizabeth Burkhardt’; Damon Chargois Subject: RE: Great job Gracie and Elizabeth and plans for next friday Let’s schedule for something after 2 p,m, today. 1 will be at Elizabeth’s place to work on some files. ]hanks, Gracie From: Kamran Mashayekh [mailto:[email protected]] Sent: Friday, November 09, 2012 3:57 PM To.’ saenzassociates@gmaiLcom; Elizabeth Burkhardt; Damon Chargois Subject: RE: Great job Gracie and Elizabeth and plans for next friday CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030709 Case 1:11-cv-10230-MLW Document 454-84 Filed 08/16/18 Page 5 of 5 Gracie and Elizabeth: Fabulous job today even though I was only there in spirit and not in body. Eric is flying in at 11:56 am next friday and Damon will pick him up and bring him to the lunch meeting wherever you decide that location shall be. In an abundance of caution, is it possible to schedule the lunch for one pm or better one thirty pm as to give eric sufficient time to get there and to make allowances for any unforseen contingencies and delays that might be associated with flying? As AI says: UAL- you aint leaving airlines can be so a propos in this instance. Also, it behooves us to have a call with eric before friday as to brush up on any loose ends that might be out there, but the way it appears is that you two have done a fabulous job in selling labaton and all eric has to do is to convince .that time is of the essence and their engagement will serve the highest and best interest of his organization. With the above rant, I thank you both and wish you a happy weekend. Senor K Saenz CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030710 Case 1:11-cv-10230-MLW Document 454-85 Filed 08/16/18 Page 1 of 1 Document Withheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030852 Case 1:11-cv-10230-MLW Document 454-86 Filed 08/16/18 Page 1 of 1 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030853 Case 1:11-cv-10230-MLW Document 454-87 Filed 08/16/18 Page 1 of 3 CHARGOIS & HERRON, L.L.P. ATTORNEYS AT LAW 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, LL.M., Ph.D~ ~ Facsimile: 281 440-0124 Kamran Mashayekh ~ Kirk A. Chargois~ Carlos A. Fernandez ~ **Licensed in Arkansas & Texas *Licensed in Texas April 7, 2009 Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New York, NY 10005 R]~;: Institutional Investor Business Development Ag~-eement Dear Eric and Chris: I hope you guys are doing well up there. Below is my attempt to put our ongoing business relationship in writing. This letter is to fo~nalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation ("Clients"~. brought or introduced to Labaton, Sucharow, LLP (I,abaton), via the activities or connections of membe~ of Chargois, Mashayekh & tterron, LLP, or its agents, assigms, personal relations, or contacts (CMH). To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains aJad represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to ftmds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chargois & tterron, LLP and Chargois, Mashayekh & tterron, LLP’s contacts or relations going forward. [ PAGE ] of [ NLEVIPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030854 Case 1:11-cv-10230-MLW Document 454-87 Filed 08/16/18 Page 2 of 3 where one or more clients maybe represented bv Labaton Sucharow in a parficula~ case and a may be owed to od~er associalmg counsel. In ~hat event, lhe amount of lhe Fee may be reduced commensurate wid~ the cont~qbuto~w losses of lhe sever;fl clients represented by Labalon Sucharow. For insta:nce if Laba~on Suchar~w files a :molion [}~r the ~ppoi:ntment of lead plainliff~th two such amm}>’ment, however, sha~ be disclosed aud ag*eed to at fl~e ~cepdon of the case or at such later date if ~he need for addifionM or substitute clients later arises. Labalon Suct~arow ~md CMH are free to Nscuss olher melhodoloNes for an allocation of lhe Fee under Ne m~dtiple lead-plmndff scena:no at their mutuN Nsc:mlion. percent (15%3 of an overall plaintiff class award totaling $25 million or less~ CMIt’s Fee v~,ill fall to ten percen~ 10%)~ ~ Formatted: Indent: First line: 0" It is ag,~’eed tl~at (21V~1 will not bare any costs, expenses or payments of any "!rind whatsoever in reladon to tt~e examination or mvesligation of a potential cause of action, lhe litigation of the action or any other related costs, expenses or payments. fim~s may contain confidential infom~ation, such as client lists, fim~ strate{des, litigation strategies and olher sensitive information coustitutes confidential and/or privileged information. Each of the parties mutually a~ee that they shall not use or disclose such confidential infonnalion for amy Any dispute between the parties hereto shall be rcsoh~ed by arbitration conducted pursuant to the applicable rifles of the ~nerican Arbitration Associa~on in Galveston Count, Texas or New York CiW, New York. In a~U such arbitration, fl~e arbitrator is aufl~o~zed to award attorney’s fees ~o the~reva~mg parly or pa ~ies if[the arbjtmlor finds lhat lh e position: of[lhe o~her pafly or ~a ~Nes was...... maintained in bad failh. Texas. ...... [ PAGE ] of [ NL~MPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030855 Case 1:11-cv-10230-MLW Document 454-87 Filed 08/16/18 Page 3 of 3 Damon J. Chargois, Chargois, Mashayekh & HeITon, LLP Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucharow, LLP [ PAGE ] of [ NL~MPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030856 Case 1:11-cv-10230-MLW Document 454-88 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [[email protected]] Sent: 9/2/2016 4:10:49 PM To: Belfi, Eric J. [[email protected]] Subject: Fwd: Spectrum and Vocera settlement Let’s discuss Christopher Keller Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 212-907-0853 Begin forwarded message: From: Damon Chargois Chris, I have to point out that for every ATRS case settlement since the very beginning of our arrangement, Labaton has called and asked us to take a haircut each time and we have worked with Labaton by agreeing to a reduced amount. The last time-- in the Colonial Bank case-- Eric promised me that if we took a rather sizable haircut in that case, then Labaton would not seek a haircut the next time and that he didn’t expect to seek haircuts going forward. Feel free to discuss with Eric if you like. You’ve explained the changing situation at Labaton and I appreciate your candor, but I need you to understand the position that your request puts me in, especially in light of what I was previously told and what we relied on to our detriment. As you know, we dedicated a ton of money, energy, political favors, time and effort to secure ATRS for Labaton at the start of this thing based on the promise of 20% of Labaton’s attorney fees received in any ATRS case where Labaton was appointed lead. With that said and taken into consideration, the 15% is as low as we can go in Spectrum Pharmaceuticals and Vocera. Sent from my iPhone CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030876 Case 1:11-cv-10230-MLW Document 454-89 Filed 08/16/18 Page 1 of 2 Message From: [email protected] [[email protected]] Sent: 4/11/2009 12:40:54 AM To: Keller, Christopher J. [[email protected]]; Belfi, Eric J. [[email protected]] CC: Elaine Doyal [[email protected]]; Jeni Farrish [[email protected]] Subject: Re: Ltr to Eric Belfi and Chris Keller- Draft Agreement 04-07-09 Good deal, Chris. Sent via BlackBerry by AT&T From: "Keller, christopher J." Date: Thu, 9 Apr 2009 18:48:05 -0400 To: Damon chargois Very well done indeed. If I may, I will add some of the usual stuff we have in our agreements and see if you can live with it. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~vw. Labaton.com From: Damon Chargois [mailto:[email protected]] sent: Thursday, April 09, 2009 11:33 AM To: Belfi, Eric J.; Keller, christopher J. cc: Elaine Doyal; Jeni Farrish subject: Ltr to Eric Belfi and chris Keller - Draft Agreement 04-07-09 okay boys. Take a gander and sign if it meets with your approval. Eric, pursuant to our discussion following our business development summit in February, I inserted an attorney fee reduction statement that says CMH only gets 10% of the gross attorney fee if a judge awards less than 15% gross attorney fee to Labaton in cases where the total class award is $25,000,000 or less. Even though the attached letter agreement is perfectly written, please make whatever changes you think appropriate and send back. P Please consider the environment before printing this email. ~*~Privilege and confidentiality Notice This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030988 Case 1:11-cv-10230-MLW Document 454-89 Filed 08/16/18 Page 2 of 2 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030989 Case 1:11-cv-10230-MLW Document 454-90 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 2/11/2009 4:27:27 PM To: Belfi, Eric J. [[email protected]]; Keller, Christopher J. [[email protected]] CC: Elaine Doyal [[email protected]] Subject: RE: We are at the pool bar Flag: Follow up Great seeing you again, Eric and Chris. Eric, you told me that Chris is working on an agreement in writing, so I am including him on this email. I don’t know how formal you guys want to be with this, but you have probably noticed that I am pretty informal and rely more on our mutual trust and respect for each other to carry the day. That said, I think it’s important for us to lay out our understanding of our agreement with respect to the gathering of pension fund business. we have agreed that chargois & Herron, LLP, shall receive 20% of the gross attorney fees recovered by Labaton sucharow on any litigation or claims process brought on behalf of the Arkansas Teachers’ Retirement Pension Fund. We have also agreed to the same payment terms shall apply to any other pension fund or retirement fund representation that Labaton sucharow obtains via contacts through chargois & Herron, LLP. This includes introductions to funds in Atlanta, Richmond and Georgia via Frank Stout, in addition to chargois & Herron, LLP (CMH), and CMH’s contacts. Eric, much earlier you and I had agreed that CMH would receive 10% of gross attorney fees received by Labaton for any pension fund business that came by way of contacts through Bailey, Bailey & Perrin. While I initially put you guys together, in addition to getting us an audience with poppa Bailey, I haven’t kept up with what you are doing with that firm. My experience with that firm is that they would like to make and keep as much of the fees generated through their contacts as possible. Please advise me on whether our deal with you is creating an issue. From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, February 10, 2009 12:28 PM To: [email protected]; Damon chargois subject: we are at the pool bar Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~.labaton.com P Please consider the environment before printing this email. "~*’~Pri vi I ege and confi denti al i ty Noti This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030990 Case 1:11-cv-10230-MLW Document 454-90 Filed 08/16/18 Page 2 of 2 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030991 Case 1:11-cv-10230-MLW Document 454-91 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 2/19/2009 5:41:04 PM To: Belfi, Eric J. [[email protected]]; Keller, Christopher J. [[email protected]] Subject: FW: Eric Belfi Guys, do I need to draft letter agreement? I don’t mind bc I want to get this off of my todo list. Eric, to address chris’s concern about judges slashing fees, we can add a provision that says CMH’s interest falls to 10% if the judge awards a gross attorney fee that falls below 15%. Let me know, boys. From: Elaine Doyal Sent: Thursday, February 19, 2009 11:32 AM To: Damon chargois subject: Eric Belfi From: Damon chargois Sent: wednesday, February 11, 2009 10:27 AM To: Belfi, Eric J.; [email protected] cc: Elaine Doyal Subject: RE: We are at the pool bar Great seeing you again, Eric and Chris. Eric, you told me that Chris is working on an agreement in writing, so I am including him on this email. I don’t know how formal you guys want to be with this, but you have probably noticed that I am pretty informal and rely more on our mutual trust and respect for each other to carry the day. That said, I think it’s important for us to lay out our understanding of our agreement with respect to the gathering of pension fund business. we have agreed that chargois & Herron, LLP, shall receive 20% of the gross attorney fees recovered by Labaton sucharow on any litigation or claims process brought on behalf of the Arkansas Teachers’ Retirement Pension Fund. We have also agreed to the same payment terms shall apply to any other pension fund or retirement fund representation that Labaton sucharow obtains via contacts through chargois & Herron, LLP. This includes introductions to funds in Atlanta, Richmond and Georgia via Frank Stout, in addition to chargois & Herron, LLP (CMH), and CMH’s contacts. Eric, much earlier you and I had agreed that CMH would receive 10% of gross attorney fees received by Labaton for any pension fund business that came by way of contacts through Bailey, Bailey & Perrin. While I initially put you guys together, in addition to getting us an audience with poppa Bailey, I haven’t kept up with what you are doing with that firm. My experience with that firm is that they would like to make and keep as much of the fees generated through their contacts as possible. Please advise me on whether our deal with you is creating an issue. From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, February 10, 2009 12:28 PM To: [email protected]; Damon chargois subject: we are at the pool bar Eric J. Belfi CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030993 Case 1:11-cv-10230-MLW Document 454-91 Filed 08/16/18 Page 2 of 2 Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com P Please consider the environment before printing this email. ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS030994 Case 1:11-cv-10230-MLW Document 454-92 Filed 08/16/18 Page 1 of 2 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 11/17/2007 4:52:46 PM To: Belfi, Eric J. [[email protected]]; ’~ CC: ’[email protected]’ [[email protected]]; Keller, Christopher J. [[email protected]] Subject: Attachments: Labaton Sucharow~Case Analysis.pdf Dear ~: As a follow up to our initial )oft that we )rovided to you a )le of weeks )oft fl~at is a of the situation at Our report is substantively supported by expert reports concerning damages, accounting, and an insider trading malysis all prepared by prominent experts in their field, as well as a substantive investigation headed up by our head investi~gator AI Gumney, a CPA and 20 year veteran of the FBI. As we discussed in Houston last month about the size and strength of Labaton’s infrastructure, I think that you will find that at this early stage in the litigation, we hmTe conducted an extremely comprehensive investigation that puts us at a strategic advm~tage in the litigation of this case. I plan to be in Houston during the week of November 26, 2007 and I am available ~-or an in-person meeting to f-urther discuss this case. Have a good weekend. Regards, Eric From: Belfi, Eric J. Sent: Friday, November 02, 2007 4:20 PM Cc: ’[email protected]’ Dear B: Based on a review of 13-F Filings, it appears that the ~has suffered a significant loss in Merrill Lynch Co., Inc. We estimate that ~ has suffered losses in excess of $38 million. I am providing you with a copy of our initial research report o~~ We are working on a more detailed report which we will be able to provide to you shortly. If you would like tts to determine your losses in this case~ please provide us with the following data: CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031001 Case 1:11-cv-10230-MLW Document 454-92 Filed 08/16/18 Page 2 of 2 Regards, Eric J. Belfi Partner Labaton Sucharow LLP 140 Broad~vay New York, New York 10005 Phone: + 1.212.907.0878 Fax: +1.212.883.7078 ._c__t_?__c_’_.l__l_~_q.l I a b ato n. c o m www.labaton.co~n * * *Privilege and Confidentiality Notice** * This electronic message contains infbrmation that is (a) LEGALLY PRWILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only ibr the use of the Addressee(s) named herein, if you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distribuhng this message is prohibited. If yon have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take file steps neeessat3~ to delete the message completely frora your computer systcma. Tha:nk you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031002 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 1 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031003 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 2 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031004 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 3 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031005 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 4 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031006 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 5 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031007 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 6 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031008 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 7 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031009 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 8 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031010 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 9 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031011 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 10 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031012 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 11 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031013 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 12 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031014 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 13 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031015 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 14 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031016 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 15 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031017 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 16 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031018 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 17 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031019 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 18 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031020 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 19 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031021 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 20 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031022 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 21 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031023 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 22 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031024 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 23 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031025 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 24 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031026 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 25 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031027 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 26 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031028 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 27 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031029 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 28 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031030 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 29 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031031 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 30 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031032 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 31 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031033 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 32 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031034 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 33 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 34 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 35 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 36 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 37 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 38 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 39 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 40 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 41 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031043 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 42 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 43 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 44 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 45 of 46 Case 1:11-cv-10230-MLW Document 454-93 Filed 08/16/18 Page 46 of 46 Case 1:11-cv-10230-MLW Document 454-94 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/5/2007 4:49:16 PM To: Belfi, Eric J. [[email protected]] Subject: PLEASE CALL CAMRAN OR DAMON who’s the one we had lunch with? camran, right? Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Chart, cindy To: Keller, christopher J. sent: Mon Mar 05 11:41:30 2007 subject: PLEASE CALL CAMRAN OR DAMON RE: 10b options backdating cases/Local Counsel. They said that they met with you in Texas. Ca~ran cell: (713) 303-8979 Damon Cell: (832) 671-9993 office: (281) 444-0604 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031170 Case 1:11-cv-10230-MLW Document 454-95 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/3/2007 1:48:23 AM To: Belfi, Eric J. [[email protected]] Subject: Damon If this happens - you, me damon and and sucharow in vegas for 4 days - only the best christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 ...... Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Fri Nov 02 21:35:18 2007 subject: Damon spoke to Damon and he left a voicemail message on his office phone, cell phone and with his secretary that it was real important for him to get back to him. He also indicated on the voicemail that we were the right firm and needed to get the case. As soon as I have more details, I will get back to you. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, New York 10005 Phone: +1.212.907.0878 Fax: +1.212.883.7078 [email protected] www.labaton.com ***Pri vi I ege and confi denti al i ty Noti ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031174 Case 1:11-cv-10230-MLW Document 454-96 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 4/22/2009 7:04:08 PM To: =SMTP:damon @cmhllp,com CC: Belfi, Eric J. [[email protected]] Subject: Ltr to Eric Belfi and Chris Keller- Draft Agreement 04-07-09 (3) Attachments: Ltr to Eric Belfi and Chris Keller- Draft Agreement 04-07-09 (3).doc Damon, sorry for the long wait. Here are our proposed changes. Hope you are well. Chris CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031192 Case 1:11-cv-10230-MLW Document 454-97 Filed 08/16/18 Page 1 of 3 CHARGOIS & HERRON, L.L.P. ATTORNEYS AT LAW 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, LL.M., Ph.D~ ~ Facsimile: 281 440-0124 Kamran Mashayekh ~ Kirk A. Chargois~ Carlos A. Fernandez ~ **Licensed in Arkansas & Texas *Licensed in Texas April 7, 2009 Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New York, NY 10005 RJ~;: Institutional Investor Business Development Agreement Dear Eric and Chris: I hope you gn_~ys m-e doing well up there. Below is my attempt to put our ongoing business relationship in writing. This letter is to fo~Tnalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation._~2_.Ql__i__~_~_t_~2_), brought or introduced to Labaton, Sucharow, LLP (Labaton), via the activities or connections of members of Cha;gois, Mashayekh & tterron, LLP, or its agents, assigns, personal relations, or contacts (CI~,KI). To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to ftmds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chazgois & Hen-on, LLP and Chargois, Mashayekh & Helron, LLP’s contacts or relations going forward. [ PAGE ] of [ NL~MPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031193 Case 1:11-cv-10230-MLW Document 454-97 Filed 08/16/18 Page 2 of 3 where one or more clients maybe represented bv Labaton Sucharow in a parficula~ case and a may be owed to ofl~er associalmg counsel. In ~hat event, lhe amount of lhe Fee may be reduced commensurate wifl~ the cont~qbuto~w losses of lhe sever;fl clients represented by Labalon Suct~arow. t~?o:c instance if ILaba~on S~char~w files a :molion [}~r the ~ppoi:ntment of lead plainliff~th two such amm}>’ment, however, sha~ be disclosed aud ag*eed to at fl~e ~cepdon of the case or at such later date if ~he need for addi*ionM or substitute clients later arises. Labalon Suct~arow ~md CMH are free to Nscuss olher melhodoloNes for an Mlocadon of lhe Fee under Ne m~dtiple lead-plmndff scena:no at their mutuN Nsc:mlion. percent (15%) of an overall plaintiff class award t0taling $25 million or less, CMII’s Fee will fall to ten_12__c_7_Lc_’_%l_LL£_l___Q._°,_~):_ ~ Formatted: Indent: First line: 0" It is ag,)’eed tl~at C1V~{ will not bare any costs, expenses or payments of any "!rind whatsoever in reladon to tt~e examination or mvesligation of a potential cause of action, lhe litig,’ttion of the action or any other related costs, cxpet~scs or payments. fim~s may contahx confidential infom~ation, such as client lists, fim~ strate{des, litigation strategies and offmr sensitive information coustitutes confidentiM and/or privileged information. Each of the par~ies mutuMly a~ee that they shall not use or disclose such confidential mfonnalion for amy >M~y dispute between the parties hereto shall be rcsohmd by arbitration conducted pursuant to the applicable r~fles of the ~erican Arbitration Associa~on in Galveston Count, "I~exas or New York CiW, New York. In a~U such arbitration, fl~e arbitrator is aufl~o~zed to award attorney’s fees ~o the~reva~mg parly or pa ~ies if[the arbjtmlor finds lhat lh e position: of[lhe o~her pafly or ~a ~Nes was...... madntamed m bad failh. Texas. [ PAGE ] of [ NI~MPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031194 Case 1:11-cv-10230-MLW Document 454-97 Filed 08/16/18 Page 3 of 3 Damon J. Chargois, Chargois, Mashayekh & tterron, LLP b;ric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucha~ow, LLP [ PAGE ] of [ NL~MPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031195 Case 1:11-cv-10230-MLW Document 454-98 Filed 08/16/18 Page 1 of 2 CHARGOIS & HERRON, L.L.P. ATTORN~:VS AT LAW 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 Damon Chargois* Toll Free: 1.866.444.0604 Timothy P. Herron Texas Telephone: 281 444-0604 Che’ Williamson, L.L.M, Ph.D~ ~ Facsimile: 281 440-0124 Kamran Mashayekh~ Kirk A. Chargois~ Carlos A. Fernandez ~ **Licensed ill AI-ka~lsas & Texas *Licensed in Texas April 7, 2009 Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP 140 Broadway New York, NY 10005 RE: Institutional Investor Business Development Agreement Dear Eric and Chris: I hope you guys are doing well up there. Below is my attempt to put our ongoing business relationship in writing This letter is to formalize our agreement regarding the sharing of legal fees and/or revenues for any and all pension or retirement fund representation, or any other institutional investor representation, brought or introduced to Labaton, Sucharow, LLP (Labaton), via the activities or connections of members of Chargois, Mashayekh & Herron, LLP, or its agents, assigns, personal relations, or contacts (CMH). To summarize, we have agreed that CMH shall receive twenty percent (20%) of the gross attorney fees recovered by Labaton on any litigation or claims process brought on behalf of any pension/retirement fund or institutional investor that Labaton obtains and represents via introduction and cultivation by, through, or as a direct or indirect result of CMH. This includes representation of the Arkansas Teachers Retirement Pension Fund, as well as introductions to funds in Atlanta, Georgia, Richmond and the state of Georgia via Frank Stout, in addition to any other of Chargois & Herron, LLP and Chargois, Mashayekh & Herron, LLP’s contacts or relations going forward. [ PAGE ] of[ NUMPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031229 Case 1:11-cv-10230-MLW Document 454-98 Filed 08/16/18 Page 2 of 2 REDUCED ATTORNEY FEE PROVISION. In the event the judge awards a gross attorney fee to Labaton that falls below fifteen percent (15%) of an overall plaintiff class award totaling $25 million or less, CMH’s interest will fall to ten percent (10%) of the gross attorney tee award. Texas law applies to the interpretation of this agreement and any dispute arising from express or implied terms contained herein. We agree to exercise good faith and reasonable means in an effort to resolve any dispute arising out of this agreement without court intervention. If such effort fails, the parties consent to venue and jurisdiction in state court, Galveston County, Texas. Thank you for your attention to this matter. If you have any questions, please do not hesitate to contact me. Damon J. Chargois, Chargois, Mashayekh & Herron, LLP Eric J. Belfi Christopher J. Keller Labaton Sucharow, LLP Labaton Sucharow, LLP [ PAGE ] of[ NUMPAGES ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031230 Case 1:11-cv-10230-MLW Document 454-99 Filed 08/16/18 Page 1 of 1 Message From: Chan, Cindy [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=CHANC] Sent: 1/11/2008 11:11:57 PM To: ’Glenn Mintzer’ [[email protected]]; ’Louis Angelos’ [[email protected]]; ’Garrett Bradley’ [[email protected]]; Belfi, Eric J. [[email protected]] CC: Keller, Christopher J. [[email protected]] Subject: Business Development Summit in Florida- Final Agenda Attachments: GLRSNY1-687512-v1-Business Development Summit- Meeting Agenda.DOC Attached please fred the final agenda for the Business Development Summit in Florida. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031239 Case 1:11-cv-10230-MLW Document 454-100 Filed 08/16/18 Page 1 of 2 BUSINESS DEVELOPMENT SUMMIT AGENDA January 13-15, 2007 Attendees: Lou Angelos Camp Bailey Eric Belfi Art Cola Garrett Bradley Damon Chargois Mark Goldman Chris Keller Glenn Mintzer Location: Loews Miami Beach Hotel 1601 Collins Avenue, Miami Beach, Florida 33139 SUNDAY, JANUARY 13 1:00 p.m. -3:00 p.m. Arrival and check into hotel. 3:00 p.m. -6:00 p.m. Presentation by Chris Keller and Eric Belfi concerning the subprime mortgage crisis and potential case opportunities. 6:00 p.m. - 9:00 p.m. Dinner MONDAY, JANUARY 14 9:00 a.m. - 1:00 p.m. Fishing 1:00 p.m. -3:00 p.m. Lunch 3:00 p.m. -6:00 p.m. Client development discussions led by Chris Keller and Eric Belfi. Breakout sessions 6:00 p.m.- 9:00 p.m. Dinner Confidential ~Vo~k P~o&lct Page [ PAGE ] [ DATE \@ "M/diyyyy" ] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031240 Case 1:11-cv-10230-MLW Document 454-100 Filed 08/16/18 Page 2 of 2 PROGRAM AGENDA- Cont’d TUESDAY, JANUARY 15 9:00 a.m. - 9:30 a.m Breakfast 9:30 a.m. - 12:00 p.m. Presentation by Chris Keller and Eric Belfi concerning Antitrust case opportunities and client development. 12:00 p.m. l:00p.m. Check out and travel home. ~AGE]- CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031241 Case 1:11-cv-10230-MLW Document 454-101 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 12/19/2012 7:56:59 PM To: Belfi, Eric J. [[email protected]]; Keller, Christopher J. [[email protected]]; Garrett J. Bradley [[email protected]]; Art Cola [[email protected]]; Mark Goldman [[email protected]] Subject: RE: BD Trip Florida It works for me. Sincerely, Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 - Telephone (281) 440-0124 - Facsimile This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the addressee(s) named herein. If you are not the addressee(s), or the person responsible for delivering this to the addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have receoved tjos e;ectrpmoc mail message in error, please contact us immediately at (281) 444-0604 or take steps necessary to delete the message completely from your computer system. I hank you. From: Belfi, Eric J. [mailto:[email protected]] Sent= Monday, December 17, 2012 9:51 AM To: Keller, Christopher .].; Damon Chargois; Garrett .]. Bradley; ’Art Cola’; ’Mark Goldman’ Subject= BD Trip Florida Please let me lmow if Sunday, March 24th - Tuesday March 26th works? CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031245 Case 1:11-cv-10230-MLW Document 454-101 Filed 08/16/18 Page 2 of 2 Eric J. Belfi Partner II Labaton Sucharow LLP 1140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 ebelfi(~)labaton.com www.labaton.com ***Privilege and ContidenUality Nohce*** This electronic message contains information lhat is (a) LEG_A~.LY PRIVILEGED, PROPP,~ETARY IN N~C_TUR~, OR OTHER\VISE PROTECTED BY LA’W FROM DISCLOSUPdE, and ~b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to *he Addressee(s), you are hereby notified that reading, copDng, or distribnlmg lhis *nessage is prohibited. If you have received *his electronic ma*l messa.~e m err:,r, please contact us ~mxediately at 212 907 0700 and take the steps necessa~- to delete the message comp]e~e]y from your computer system. Thank you. Please consider the e~viron:~e~t before pr:in~i~:~ ~t~:is emaii. ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031246 Case 1:11-cv-10230-MLW Document 454-102 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 7/7/2010 8:51:11 PM To: Belfi, Eric J. [[email protected]]; Politano, Ray [[email protected]]; Fonti, Joseph [[email protected]] CC: Gottlieb, Louis [[email protected]] Subject: RE: RESUME As the chair of the litigation control subcommittee, I think we should approve this for no more than six weeks at a weekly rate of $500. Her father, Tim Herron, is an important contact for the firm. Christopher J. Keller, Esq. Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www,Labaton.com From: Belfi, Eric J, Sent: Wednesday, July 07, 2010 4:25 PM To: Keller, Christopher J. Subject: FW: RESUME From: Gottlieb, Louis Sent: Wednesday, July 07, 2010 3:31 PM To: Johnson, James Cc: BeN, Eric J.; Politano, Ray Subject: RE: RESUME For one month, I have no problem. But I will note t~vo things: iFirst, the woman has four names. Second, and more seriously, she may be a lawyer already -- class of 2009 -- although her resume does not say that she passed the bar. (lit looks like an old resume. By the way, it doesn’t mention details like class ranking or grades.) I raise this because, if this is a one-month deal for an important contact, we should do it. But we should not suggest that this could lead m a full-time position. Do we need litigation control approval? Assuming that the Firm agrees to do this, we should nevertheless ask for a transcript and writing sample. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031319 Case 1:11-cv-10230-MLW Document 454-102 Filed 08/16/18 Page 2 of 2 From." Johnson, James Sent: Wednesday, July 07, 2010 3:16 PM To; Gottlieb, Louis Cc: Belfi, Eric J.; Politano, Ray Subject: Fw: RESUME Lou, This one’s for you. Given that the candidate will only be here a month, I have no problem with it but we should run it by Ray. From: Belfi, Eric J. To: Johnson, James Sent: Wed Jul 07 14:35:21 2010 Subject: FW: RESUME CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031320 Case 1:11-cv-10230-MLW Document 454-103 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW !OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 2/4/2011 6:07:11 PM To: ’Garrett Bradley’ [[email protected]] Subject: RE: We’re trying to get him for 20% of our fee, and then hopefully we can just do an amount off the top to cover it equally, Christopher J. Keller, Esq. Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com From" Garrett Bradley [mailto:[email protected]] Sent: Tuesday, February 01, 2011 4:21 PN To; Keller, Christopher Subject: Did you work out the fee issue with Damon on state street pending the Arkansas decision? Garrett J. Bradley, Esq. I Thornton and Naumes, LLP 100Summer Street, 30th Floor I Boston, MA 02110 Phone: (617) 720-1333 I Fax: (617) 720-2445 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031328 Case 1:11-cv-10230-MLW Document 454-103 Filed 08/16/18 Page 2 of 2 This e-mail and any files transmitted with it are confidential and are intended solely for the use of the individual or entity to whom they are addressed. This communication may contain material protected by the attorney-client privilege. If you are not the intended recipient or the person responsible for delivering the e-mail to the intended recipient, be advised that you have received this e-mail in error and that any use, dissemination, forwarding, printing, or copying of this e-mail is strictly prohibited. If you have received this e-mail in error; please immediately notify us by telephone at (800) 431-4600. You will be reimbursed for reasonable costs incurred in notifying us. Please consider the environment before printing this emailo CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031329 Case 1:11-cv-10230-MLW Document 454-104 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 1/26/2007 3:05:54 AM To: Belfi, Eric J. [[email protected]] Subject: working on 1 funds now. Good follow up. sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. Sent: Thu Jan 25 22:02:19 2007 Subject: RE: ~ TAD knew the guy that Damon told us about. Tom wants to go and meet with them. I working on the follow up meeting. I am going to arrange a dinner with Ken and set sometime to pick Damon’s brain and have Kamran there so we can have an executer. I working on sending an agenda out tonight to the Texans. How are we doing on .Funds, I really need to get that out because I want to propose a follow up - I just need to fees, I will deal with the rest. Tomorrow, lets talk ~l~early. Tom suggested that we have McDonald and Natalie work on the allegations in the blue Ribbon - he asked me to clear it with you before I asked so it was not contrary to something that you were doing. ..... original Message ..... From: Keller, christopher J. sent: Thursday, January 25, 2007 9:58 PM To: Belfi, Eric J. Subject: Re: ~ what in already exists with ~? Good call on getting tad involved. sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher J. cc: chan, cindy Sent: Thu Jan 25 21:52:47 2007 Subject: RE: ~ YOU should be. ..... Original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 9:15 PM To: Belfi, Eric J.; Keller, christopher cc: chan, cindy subject: Re: ~ ok I get nervous when I’m not around sometimes sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031449 Case 1:11-cv-10230-MLW Document 454-104 Filed 08/16/18 Page 2 of 3 ..... Original Message ..... From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher J. cc: chan, cindy sent: Thu Jan 25 20:48:58 2007 Subject: RE:~ I just spoke with Tom and we are all on the same page. ..... original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 8:45 PM To: Belfi, Eric J.; Keller, christopher Cc: Chan, Cindy Subject: Re: ~ somehow I feel like I am coming into the middle of, A conversation but you do know about our current relationship w texas teachers, right? Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. cc: Tetefsky, Jennifer; chan, cindy sent: Thu Jan 25 19:16:09 2007 Subject: RE: ~ other than the new case meeting I am free - lets do it in the morning. ..... original Message ..... From: Keller, christopher J. sent: Thursday, January 25, 2007 7:15 PM To: Belfi, Eric J. Cc: Tetefsky, Jennifer; chan, cindy subject: FW: ~ We should also have a meeting with Jennifer Re: follow-up on the Texas trip. I’m particularly interested in finding out what happened with ~(when Bailey recommended them) and in perhaps setting up a meeting with ~ It seems 1 e t e most logical place to start, with the highest likelihood of success. ..... original Message ..... From: Ching, Natalie Sent: wednesday, January 24, 2007 4:47 PM To: Ching, Natalie; Keller, christopher J. cc: chan, cindy; Belfi, Eric J. subject: RE: ~ P.s. this is a kansas city based fund. Is this the one you want? ..... Original Message ..... From: Ching, Natalie Sent: wednesday, January 24, 2007 4:45 PM To: Keller, christopher J. cc: chan, cindy; Belfi, Eric J. Subject: RE: ~ $6.6 billion ..... Original Message ..... From: Keller, christopher J. sent: wednesday, January 24, 2007 4:41 PM To: Ching, Natalie CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031450 Case 1:11-cv-10230-MLW Document 454-104 Filed 08/16/18 Page 3 of 3 Cc: chan, cindy; Belfi, Eric J. Subject: Re: ~ How big is the ~? sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Ching, Natalie To: Keller, christopher J. cc: chan, cindy Sent: Wed Jan 24 16:25:59 2007 Subject: RE: ~ Major net sellers according to the 13F. Fifo loss (all sales offset by open) is $55 million ..... original Message ..... From: Keller, christopher J. sent: wednesday, January 24, 2007 3:53 PM To: Ching, Natalie Cc: Chan, Cindy subject: ~ what’s their loss in~ sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031451 Case 1:11-cv-10230-MLW Document 454-105 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 1/26/2007 3:15:10 AM To: Belfi, Eric J. [[email protected]] Subject: Yes. T needed today big time. T woke up and almost nothing was coming out when T tried to speak. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Jan 25 22:13:17 2007 subject: RE: ~ You feeling better? ..... Original Message ..... From: Keller, christopher J. Sent: Thursday, January 25, 2007 10:13 PM To: Belfi, Eric J. subject: Re: ~ Push how? Have them work on the blu ribbon for opt out use? sure. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Jan 25 22:06:20 2007 subject: RE: ~ So do you want to pushIwith Natalie and chris? ..... Original Message ..... From: Keller, christopher J. Sent: Thursday, January 25, 2007 10:06 PM To: Belfi, Eric J. subject: Re: ~ working on I funds now. Good follow up. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Jan 25 22:02:19 2007 subject: RE: ~ TAD knew the guy that Damon told us about. Tom wants to go and meet with them. I working on the follow up meeting. I am going to arrange a dinner with Ken and set sometime to pick Damon’s brain and have Kamran there so we can have an executer. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031452 Case 1:11-cv-10230-MLW Document 454-105 Filed 08/16/18 Page 2 of 4 I working on sending an agenda out tonight to the Texans. How are we doing on IFunds, I really need to get that out because I want to propose a follow up - I just need to fees, I w111 deal with the rest. Tomorrow, lets talk early. Tom suggested that we have McDonald and Natalie work on the allegations in the blue Ribbon ked me to clear it with you before I asked so it was not contrary to something that you were doing. ..... original Message ..... From: Keller, christopher J. Sent: Thursday, January 25, 2007 9:58 PM To: Belfi, Eric J. subject: Re: ~ what in already exists with~7 Good call on getting tad involved. Sent from my BlackBerry Wireless Handheld ..... original Message From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher J. Cc: Chan, Cindy sent: Thu Jan 25 21:52:47 ,07 subject: RE: You should be. ..... Original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 9:15 PM To: Belfi, Eric J.; Keller, Christopher J. Cc: chan, cindy subject: Re: ~ Ok I get nervous when I’m not around sometimes Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher cc: chan, cindy Sent: Thu Jan 25 20:48:58 2007 subject: RE: Texas teachers I just spoke with Tom and we are all on the same page. ..... original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 8:45 PM To: Belfi, Eric J.; Keller, christopher J. cc: chan, cindy subject: Re: ~ somehow I feel like I am coming into the middle of. A conversation but you do know about our current relationship w ~, right? Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LB8031453 Case 1:11-cv-10230-MLW Document 454-105 Filed 08/16/18 Page 3 of 4 Cc: Tetefsky, Jennifer; chan, cindy Sent: Thu Jan 25 19:16:09 2007 Subject: RE: ~ other than the new case meeting I am free - lets do it in the morning. ..... original Message ..... From: Keller, christopher J. sent: Thursday, January 25, 2007 7:15 PM To: Belfi, Eric J. Cc: Tetefsky, Jennifer , cindy subject: FW: We should also have a meeting with Jet mifer Re: fo low-up on the Texas trip. I’m particularly interested in finding out what happened with the (when Bailey recommended them) and in perhaps setting up a meeting with~ It seems like the most logical place to start, with the highest likelihood of success. ..... Original Message ..... From: Ching, Natalie Sent: wednesday, January 24, 2007 4:47 PM To: Ching, Natalie; Keller, christopher J. cc: chan, cindy; Belfi, Eric J. Subject: RE: ~ P.s. this is a kansas city based fund. Is this the one you want? ..... original Message ..... From: Ching, Natalie Sent: wednesday, January 24, 2007 4:45 PM To: Keller, christopher J. cc: chan, cindy; Be]fi, Eric J. Subject: RE: ~ $6.6 billion ..... original Message ..... From: Keller, christopher J. Sent: wednesday, January 24, 2007 4:41 PM To: Ching, Natalie Cc: chan, cindy; Belfi, Eric J. Subject: Re: ~ How big is the~? sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Ching, Natalie To: Keller, christopher J. Cc: Chan, Cindy Sent: Wed Jan 24 16:25:59 2007 subject: RE: ~ Major net sellers according to the 13F. Fifo loss (all sales offset by open) is $55 million ..... Original Message ..... From: Keller, christopher J. Sent: wednesday, January 24, 2007 3:53 PM To: Ching, Natalie cc: chan, cindy Subject: ~ what’s their loss in ~ CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031454 Case 1:11-cv-10230-MLW Document 454-105 Filed 08/16/18 Page 4 of 4 Sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031455 Case 1:11-cv-10230-MLW Document 454-106 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/12/2007 5:36:10 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Damon I’ll go for a walk. Actually I need to get lunch. Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. La bato n. co m From: Belfi, Eric J. Sent: Monday, March 12, 2007 1:32 PM To: Keller, Christopher 3. Subject: RE: Damon Yes - that is the plan - coffee? From: Keller, Christopher J. Sent: Monday, March 12, 2007 1:27 PM To; BeN, Eric J. Subject: RE: Damon With the ~? Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www.Labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031458 Case 1:11-cv-10230-MLW Document 454-106 Filed 08/16/18 Page 2 of 2 From: Belfi, Eric J. Sent: Monday, March 12, 2007 12:06 PM To: Keller, Christopher J. Subject: Damon I had a nice talk with Damon today. He will be meeting with Ken this week and will make sure we get a meeting soon. He will also bring us to Arkansas shortly. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031459 Case 1:11-cv-10230-MLW Document 454-107 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 7/9/2007 2:45:09 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Houston What’s up with Texas?? Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. La bato n. co m From: Belfi, Eric J. Sent: Friday, January 26, 2007 2:14 AM To: ’[email protected]’; ’[email protected]’ Co: ’[email protected]’; Keller, Christopher J. Subject: Houston Dear Ken & La~vrence: Thank you f-or taking the time to meet xvith us yesterday. \Ve are in the process of preparing a proposed plan to send to you shortly. Best regards, Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 ._e_b___e_.l__~£~.)J ab a t o n. c o m www.labaton.com ***Privileg~ and Confidentiality Not*ce 7t~is electronic message contains infom~ation that is (a) LEGALLY" PRIVILEGED, PRCPPRIETARV IN NATUKE, OR_ OTHERWISE PROTECTED B~" LA’vV FROM DISCLOSURE, and ~u) intended only for the use of the Addressee(s) named hereto. If yon are not the Addressee(s), or the person responsible for de]ivering this to ~he Addressee(s), you CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031463 Case 1:11-cv-10230-MLW Document 454-107 Filed 08/16/18 Page 2 of 2 are hereby notified t}~at ~eadmg, copying, or distrib~t~n~ t}tis message is prohibited. I{you have received tI~is electronic mad messag~ xn er~o~, please contact us imn,ediately at 2J 2 907 0700 and take t}~e steps necessary to delete ~}~e message completely ~rom your computer s} stem. Tf~ar~k you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031464 Case 1:11-cv-10230-MLW Document 454-108 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 7/10/2007 8:16:25 PM To: Belfi, Eric J. [[email protected]] Subject: RE: [SPAM] RE: Credit rating agencies You want me on the call tomorrow morning? christopher 3. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com ..... Original Message ..... From: Belfi, Eric 3. Sent: Monday, July 09, 2007 8:05 PM To: Keller, christopher 3. Subject: Fw: [SPAM] RE: Credit rating agencies Eric 3. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] www.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Kamran Mashayekh damon has been running with the ball on all that and wed would be a good time to discuss the status of his efforts on that end. From: Belfi, Eric 3. [mailto:[email protected]] sent: Mort 7/9/2007 6:32 PM To: Kamran Mashayekh subject: Re: [SPAM] RE: Credit rating agencies How are we doing with unions, Arkansas, and Native Americans? Eric 3. Belfi Partner CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031465 Case 1:11-cv-10230-MLW Document 454-108 Filed 08/16/18 Page 2 of 4 Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0B78 Fax: (212) 883-7078 [email protected] ~.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Kamran Mashayekh thats a go. Eric, I believe Damon wanted to participate on the call. Name the time and a number to call and we look forward to it. thanks From: Belfi, Eric J. [mailto:[email protected]] Sent: Mort 7/9/2007 5:39 PM To: Kamran Mashayekh; stuart Meissner Subject: RE: [SPAM] RE: Credit rating agencies How about wednesday morning? From: Kamran Mashayekh [mailto:[email protected]] sent: Monday, July 09, 2007 11:56 AM To: Belfi, Eric 3. subject: RE: [SPAM] RE: Credit rating agencies Tomorrow will be tough and anytime the rest of the week from wed on would work. Let me know please. From: Belfi, Eric 3. [mailto:[email protected]] Sent: Monday, July 09, 2007 10:53 AM To: Kamran Mashayekh subject: FW: [SPAM] RE: Credit rating agencies what is your schedule like later tomorrow? From: Stuart D. Meissner Esq. [mailto:[email protected]] sent: Monday, July 09, 2007 10:36 AM To: Belfi, Eric 3. Subject: RE: [SPAM] RE: Credit rating agencies I am preparing for a big conference tomorrow morning how about tomorrow late afternoon. stuart D. Meissner Esq. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031466 Case 1:11-cv-10230-MLW Document 454-108 Filed 08/16/18 Page 3 of 4 The Law offices of Stuart D. Meissner LLC., 1350 Broadway, Suite 1510, New York, N.Y. 10018, Phone-212-764-3100, Fax-646-607-3071 This message is intended only for the use of the individual or entity to which it is addressed, and may contain information that is PRIVILEGED, CONFIDENTIAL and exempt from disclosure under applicable law. If the reader of this message is not the intended recipient, or the employee or agent responsible for delivering the message to the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please notify the sender immediately and please delete the original without copying or forwarding it.Thank you. Please be advised that, based on current IRS rules, regulations and standards, any tax advice contained herein (including any attachment) is not intended or written to be used, and cannot be used or relied upon by you or any other party, for the purpose of (a) avoiding any penalties under the Internal Revenue code related to this matter or (b) promoting, marketing or recommending to another party any tax advice, transaction or matter addressed in this communication. --- original Message--- To: "Stuart Meissner" Cc: "Kamran Mashayekh" From: "Belfi, Eric J." Sent: 7/09/2007 10:20AM subject: [SPAM] RE: Credit rating agencies >> Stuart: >> >> Are you around this afternoon for a call to discuss with Kamran and me? >> I am free from 3:15PM EST onward. >> >> Eric >> >> ..... Original Message ..... >> From: Stuart Meissner [mailto:[email protected]] >> Sent: saturday, July 07, 2007 11:14 AM CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031467 Case 1:11-cv-10230-MLW Document 454-108 Filed 08/16/18 Page 4 of 4 >> To: Belfi, Eric J. >> Subject: Credit rating agencies >> >> Eric are you familiar with the current >> issue of credit rating agencies giving false ratings on various cdo >> obligations making investors rely on triple A status as supposed safe >> investments which then blow up often with margin blowing investors out? >> >> I have had some calls on this with large losses and it would seem to >> be >> a good class action. >> Stuart Meissner Esq. >> >> Sent with wireless sync from verizon wireless >> >> ***Pri vi I ege and confi denti al i ty Noti ce~’~*~’~ >> This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE~ OR OTMERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031468 Case 1:11-cv-10230-MLW Document 454-109 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/3/2007 1:30:23 PM To: Sucharow, Lawrence [[email protected]] Subject: Re: Quick Update on this week Wow christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Tetefsky, Jennifer To: Belfi, Eric J. Cc: Keller, christopher J.; sucharow, Lawrence Sent: wed oct 03 06:37:13 2007 subject: Re" Quick update on this week Eric, we definitely have to chat re Friday -we have done certain things in some of those states in the past so I at least want you to know the history since some of our partners have met with people still in office amd in case that were to ever come up in conversaation. Thanks. ..... original Message ..... From: Belfi, Eric J. To: Tetefsky, Jennifer Cc: Keller, christopher J.; sucharow, Lawrence sent: Tue Oct 02 23:31:32 2007 subject: Quick update on this week Monday - Las Vegas Tuesday - utah On the antitrust side, he represents a number of manufacturers and his happy to refer us clients, CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031471 Case 1:11-cv-10230-MLW Document 454-109 Filed 08/16/18 Page 2 of 2 Damon is really moving all of the fronts. on Arkansas, the senator is going to come visit us at the end of the month or early November - Tim and possibly Damon will come up as well up. This is quickly becoming a crazy trip like the European trips we all know and love. Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883. 7078 ebel fi @l abaton, corn ww~. I abaton, corn CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031472 Case 1:11-cv-10230-MLW Document 454-110 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 11:05:48 PM To: ’[email protected]’ [[email protected]]; ’Glenn Mintzer’ [[email protected]] Subject: FW: Florida - 1/13-1/15/08 I may have given you incorrect dates for the business development summit in Florida. I believe the correct dates are January 13-15. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com Please note our new office address. ..... original Message ..... From: Chan, Cindy Sent: Thursday, November 15, 2007 3:47 PM To: Keller, christopher J.; Belfi, Eric J. Subject: FW: Florida - 1/13-1/15/08 Please see below for the confirmation info. Everyone is booked in the Luxury Oceanfront Room with One King Bed & Balcony at a daily rate of $489. cancellation policy is 72 hours prior to arrival. The address and phone number for Loews Miami Beach Hotel is 1601 collins Avenue, Miami Beach, Florida 33139, Phone: (305) 604-1601. chris Keller - 97552457 Eric Belfi - 91104830 Chris D’Amato -92752552 Garrett Bradley -94061617 Damon chargois -89359410 Lou Angelos - 89795765 Glenn Mintzer - 91541185 ..... Original Message ..... From: Keller, christopher J. Sent: Monday, November 12, 2007 2:39 PM To: Chart, Cindy Subject: FW: Florida can you call the first one and see if it can accommodate seven rooms for three days, January 13th through the 15th. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031482 Case 1:11-cv-10230-MLW Document 454-110 Filed 08/16/18 Page 2 of 2 Please note our new office address. ..... original Message ..... From: Belfi, Eric J. Sent: Monday, November 12, 2007 2:33 AM To: Keller, christopher J. subject: Florida From Damon on Florida - Leows South Beach or, if you want small and elegant, The Delano. Eric 3. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031483 Case 1:11-cv-10230-MLW Document 454-111 Filed 08/16/18 Page 1 of 2 Message From: Belfi, Eric J. [/O=GOODKiN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] on behalf of Belfi, Eric J. [/o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=belfie] Sent: 7/6/2010 5:03:29 PM To: Keller, Christopher J. [ckeller@labaton,com] Subject: FW: From: Damon Chargois [mailto:[email protected]] Sent-" Tuesday, July 06, 2010 12:06 PM To; Elaine Doyal Cc-" Belfi, Eric J. Subject: Elaine, please keep track of the pension fund cases that we have with Labaton, Sucharow. I am happy to say that the number of cases is growing. So far, we have secured for Labaton representation of the Arkansas Teacher’s Retirement Pension Fund in the Colonial Bank case, the Hartford case, and against Goldman-Sachs. Our deal is CMH gets 20% of Labaton, Sucharow’s gross attorney fees plus expenses and they get the remaining 80% plus expenses. If the overall gross attorney fees fall below 10% of the overall settlement in a case, then our percentage of Labaton’s gross attorney fees falls to 15%. For example, if Goldman-Sachs settles for $1 billion and the attorney fee is $150 million, with Labaton receiving $75 million, then CMH gets 20% of $75 million (NOT 20% of $150 million). However, if the overall attorney fee is $90 million, then Labaton gets $45 million and CMH gets 15% of $45 million, instead of 20%. Eric, I typed this email from memory, so I may have missed something. If so, please correct me in your reply. Otherwise, would you please reply with your agreement to the above? Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031590 Case 1:11-cv-10230-MLW Document 454-111 Filed 08/16/18 Page 2 of 2 l hJs electronic message contains information that Js (a) LEGALLY PRIVILEGED, PROPRIE IARY IN NAI URE, OR O1HERWISE PROfECIED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031591 Case 1:11-cv-10230-MLW Document 454-112 Filed 08/16/18 Page 1 of 2 Message From: Fonti, Joseph [/O=GOODKIN LABATON RUDOFF SUCHAROW!OU=FIRST ADMINISTRATIVE GROU P/CN=RECIPIENTS/CN=FONTIJ] Sent: 7/7/2010 8:54:27 PM To: Keller, Christopher J. [[email protected]]; Belfi, Eric J. [[email protected]]; Politano, Ray [[email protected]] CC: Gottlieb, Louis [[email protected]] Subject: Re: RESUME I concur. From: Keller, Christopher J. To: Belfi, Eric J.; Politano, Ray; Fonti, Joseph Cc: Gottlieb, Louis Sent: Wed Jul 07 16:51:11 2010 Subject: RE: RESUNE As the chair of the litigation control subcommittee, I think we should approve this for no more than six weeks at a weekly rate of $500. Her father, Tim Herron, is an important contact for the firm. Christopher J. Keller, Esq. Partner II Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com From= Belfi, Eric J. Sent= Wednesday, July 07, 2010 4:25 PM To; Keller, Christopher J. Subject= FW: RESUME From: Gottlieb, Louis Sent: Wednesday, July 07, 2010 3:31 PM To: Johnson, James Cc: Belfi, Eric J.; Politano, Ray Subject= RE: RESUNE For one month, I have no problem. But I will note two things: First, the woman has four names. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031595 Case 1:11-cv-10230-MLW Document 454-112 Filed 08/16/18 Page 2 of 2 Second, and more seriously, she may be a lawyer already -- class of 2009 -- although her resume does not say that she passed the bar. (It looks like an old resume. By the way, it doesn’t mention details like class ranking or grades.) I raise this because, if this is a one-month deal for an important contact, we should do it. But we should not suggest that this could lead to a full-time position. Do we need litigation control approval? Assuming that the Firm agrees to do this, we should nevertheless ask for a transcript and writing sample. From: Johnson, James Sent: Wednesday, July 07, 2010 3:16 PM To: Gottlieb, Louis Cc: Belfi, Eric J.; Politano, Ray Subject." Fw: RESUME Lou, This one’s for you. Given that the candidate will only be here a month, I have no problem with it but we should run it by Ray. From: BeN, Eric J. To: Johnson, James Sent: Wed Jul 07 14:35:21 2010 Subject: FW: RESUME CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031596 Case 1:11-cv-10230-MLW Document 454-113 Filed 08/16/18 Page 1 of 2 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 7/12/2010 11:20:42 AM To: Gottlieb, Louis [[email protected]]; Johnson, James [[email protected]] CC: Politano, Ray [[email protected]]; Keller, Christopher J. [[email protected]] Subject: RE: RESUME Attachments: writing sample-Appellate Brief.doc; Samford University.docx From: Gottlieb, Louis Sent: Wednesday, July 07, 2010 3:31 PM To.’ Johnson, James Co: Belfi, Eric J.; Politano, Ray Subject; RE: RESUME For one month, I have no problem. But I will note two things: First, the woman has four names. Second, and more seriously, she may be a lawyer already -- class of 2009 -- although her resume does not say that she passed the bar. (It looks like an old resume. By the way, it doesn’t mention details like class ranking or grades.) I raise this because, if this is a one-month deal for an important contact, we should do it. But we should not suggest that this could lead to a full-time position. Do we need litigation control approval? Assuming that the Firm agrees to do this, we should nevertheless ask for a transcript and writing sample. From: Johnson, James Sent: Wednesday, July 07, 2010 3:16 PM To-" Gottlieb, Louis Cc: Belfi, Eric J.; Politano, Ray Subject: Fw: RESUME Lou, This one’s for you. Given that the candidate will only be here a month, I have no problem with it but we should run it by Ray. From: Belfi, Eric J. To: Johnson, James Sent: Wed Jul 07 14:35:21 2010 Subject: FW: RESUME CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031597 Case 1:11-cv-10230-MLW Document 454-113 Filed 08/16/18 Page 2 of 2 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031598 Case 1:11-cv-10230-MLW Document 454-114 Filed 08/16/18 Page 1 of 4 [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \I "main_content"] [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \1 "skip_M odule_Navigation_Links_H" ] Top of Form [ HYPERLINK i Search Search [ https//ssb.samford.edu/plsiPROD/twbkwbis.P_Gen M enu?name=bmen u.P_Adi HTMLCONTROL minMnu"] [HYPERLINKi i Forms,HTML:Text "https://ssb.samford.edu/pls/PRO D/twbksite. P_DispSiteMa p?menu_name_in=bi menu.P_MainMnu&depth_in=2&columns_in=3"] [ HYPERLINK i HTMLCONTROL "https://ssb.samford.edu/pls/PRO D/twbkfrmt.P_DispHelp?pagename_in=bwsko Forms.HTPlL:Sub i rnitbutton.1 ] trn.P_ViewTran" \t "_blank" ] [ HYPERLINK Bottom of Form "https://ssb.samford.edu/pls/PROD/twbkwbis.P_Logout" ] iAcademic 900179976 Hillary C. Herron Meador Jul 08, 2010 05:35 pm iTranscript :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: This is not an official transcript. Courses which are in progress may also be included on this transcript. HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \1 "insti_credit" ] [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \l "trans_totals" ] [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \1 "crses_progress" ] Name : Hillary C. Herron Meador Birth Date: Current Program Juris Doctor Program: .]uris Doctor College: Cumberland School of Law CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031599 Case 1:11-cv-10230-MLW Document 454-114 Filed 08/16/18 Page 2 of 4 Case 1:11-cv-10230-MLW Document 454-114 Filed 08/16/18 Page 3 of 4 Case 1:11-cv-10230-MLW Document 454-114 Filed 08/16/18 Page 4 of 4 [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \1 "top"] [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskotrn.P_ViewTran" \1 "skip_Academic_Transcript_Links_F"] [ [ HYPERLINK "https://ssb.samford.edu/pls/PROD/twbkwbis.P_GenMenu?name=bmenu.P_FACostMnu" ] I [ HYPERLINK"https://ssb.samford.edu/pls/PROD/bwskwtrr.p_disp_transcript_address" ] I [ HYPERLINK "https://ssb.samford.edu/pls/PROD/bwskwtrr.p_disp_order_requests" ] ] RELEASE: 8.1 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031602 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 1 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031603 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 2 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031604 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 3 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031605 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 4 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031606 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 5 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031607 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 6 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031608 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 7 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031609 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 8 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031610 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 9 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031611 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 10 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031612 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 11 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031613 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 12 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031614 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 13 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031615 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 14 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031616 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 15 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031617 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 16 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031618 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 17 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031619 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 18 of 40 CONFIDENTIAL 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Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 27 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031629 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 28 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031630 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 29 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031631 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 30 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031632 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 31 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031633 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 32 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031634 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 33 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031635 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 34 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031636 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 35 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031637 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 36 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031638 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 37 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031639 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 38 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031640 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 39 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031641 Case 1:11-cv-10230-MLW Document 454-115 Filed 08/16/18 Page 40 of 40 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031642 Case 1:11-cv-10230-MLW Document 454-116 Filed 08/16/18 Page 1 of 3 Message From: Damon Chargois [[email protected]] Sent: 7/13/2010 8:23:33 PM To: Belfi, Eric J. [[email protected]] CC: Keller, Christopher J. [[email protected]]; Elaine Doyal [[email protected]] Subject: Re: Thank you, Eric. Good talking to you, today. I will work on ~for your antitrust stuff. Get me the details as soon as you can. Take care. Sent from my iPhone On Jul 13, 2010, at 10:30 AM, "Belfi, Eric J." Your memory is pretty good. Here are the details on the cases: 1. Colonial Bm~k We had to make a deal at the lead plaintiff stage because there was a competing movant group so we have approximately 60 percent of the case. Movant Name FIFO LOSS PECENTAGE Arkansas Teacher (~639,144,00 36.39 Further, as the chart above reflects, ATRS had 36.39 percent of the Labaton lead plaintiff losses so your interest in the case is 20 percent of 36.39 percent of the net fees to Labaton. \Vith the caveat that the fees are above 10 percent, an example would be as follows: if the court awarded plaintiffs’ counsel a $25 million fee, Labaton would received $15 million (60 percent of $25 million) mad CN’EH fee allocation would be based on 36.39 percent of $15 million or $5,458,500 so CMH woukt receive $1,091,700 which reflects 20 percent of $5,458,500. 2. Hartford \Ve have 50/50 split with Nix Patterson and there are no other plaintiffs involved in the case so CMH would received 20 percem of Labaton’s net fees as long as the tee awarded is above 10 percent. There is a competing lead plaintiff motion but we belicvc that ATRS will prevail. 3. Goldman CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031643 Case 1:11-cv-10230-MLW Document 454-116 Filed 08/16/18 Page 2 of 3 ATRS moved with West Virginia Investment Management Board, and Plumbers & Pipefitters National Pension Fund. There is a competing lead plaintiff group but we believe that ATRS’ group will prevail. Labaton has approximately a 50 percent interest in this case and CNfH would receive 20 percent of Labaton’s net fees as long as the fee awarded is above 10 percent. Plcasc lct us tmow if you havc any qucstions. Eric From: Damon Chargois [mailto:[email protected]] Se~t: Tuesday, July 06, 2010 12:06 PM To: Elaine Doyal Co: Belfi, Eric 3. Subject: Elaine, please keep track of the pension fund cases that we have with Labaton, Sucharow. I am happy to say that the number of cases is growing. So far, we have secured for Labaton representation of the Arkansas Teachers Retirement Pension Fund in the Colonial Bank case, the Hartford case, and against Goldman-Sachs. Our deal is CMH gets 20% of Labaton, Sucharows gross attorney fees plus expenses and they get the remaining 80% plus expenses. If the overall gross attorney fees fall below 10% of the overall settlement in a case, then our percentage of Labatons gross attorney fees falls to 15%. For example, if Goldman-Sachs settles for $1 billion and the attorney fee is $150 million, with Labaton receiving $75 million, then CMH gets 20% of $75 million (NOT 20% of $150 million). However, if the overall attorney fee is $90 million, then Labaton gets $45 million and CMH gets 15% of $45 million, instead of 20%. Eric, I typed this email from memory, so I may have missed something. If so, please correct me in your reply. Otherwise, would you please reply with your agreement to the above? Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for- delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. ~ Please consider the envirom>ent be%re printin~ tl~is email. ***Privilege and Confi dentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary- to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031644 Case 1:11-cv-10230-MLW Document 454-116 Filed 08/16/18 Page 3 of 3 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS031645 Case 1:11-cv-10230-MLW Document 454-117 Filed 08/16/18 Page 1 of 1 Message From: Zeiss, Nicole [iO=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=ZEISSN ] Sent: 4/1/2008 5:31:58 PM To: ’[email protected]’ [[email protected]]; Tountas, Stephen W. [[email protected]] CC: ’[email protected]’ [[email protected]] Subject: Re: Bacas, et al. v. Stephen L. Way, et al. Great. Thanks for the i nfo. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Damon Chargois Nicole, I attended this morning’s hearing before Judge Harmon on the motion for final settlement approval of the derivative claims against our defendants. Judge Harmon overruled the objection filed by an attorney named Armbruster (on behalf of certain derivative claimants). Mr. Armbruster didn’t appear, nor had he responded to inquiries from the parties. Judge Harmon approved the settlement order without amendment or inquiry. Damon J. chargois The information contained in this transmission is attorney work product, privileged and confidential, including protected by the attorney-client privilege, investigative privilege, common law and/or constitutional protections, unless otherwise indicated, it is only intended for viewing by the named recipient(s) identified herein by the sender. You are hereby advised to not forward, copy, or otherwise produce for viewing and/or use by anyone not identified or intended by the sender. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS032444 Case 1:11-cv-10230-MLW Document 454-118 Filed 08/16/18 Page 1 of 2 Message From: Kamran Mashayekh [[email protected]] Sent: 11/13/2012 5:08:02 PM To: Graciela Saenz [[email protected]]; Elizabeth Burkhardt [[email protected]]; Damon Chargois [[email protected]] CC: Belfi, Eric J. [[email protected]]; Elaine Doyal [[email protected]] Subject: RE: Great job Gracie and Elizabeth and plans for next friday it will be 3:30 pm and elaine will circulate a call in number for everyone...talk then From: Graciela Saenz [mailto:[email protected]] sent: Tue 11/13/2012 9:54 AM To: Kamran Mashayekh; ’Elizabeth Burkhardt’; Damon chargois Subject: RE: Great job Gracie and Elizabeth and plans for next friday Let’s schedule for something after 2 p.m. today. I will be at Elizabeth’s place to work on some files. Thanks, Gracie From: Kamran Mashayekh [mailto:[email protected]] sent: Friday, November 09, 2012 3:57 PM To: [email protected]; Elizabeth Burkhardt; Damon chargois subject: RE: Great job Gracie and Elizabeth and plans for next friday Gracie and Elizabeth: Fabulous job today even though I was only there in spirit and not in body. Eric is flying in at 11:56 am next friday and Damon will pick him up and bring him to the lunch meeting wherever you decide that location shall be. In an abundance of caution, is it possible to schedule the lunch for one pm or better one thirty pm as to give eric sufficient time to get there and to make allowances for any unforseen contingencies and delays that might be associated with flying? As Al says: UAL- you aint leaving airlines can be so apropos in this instance. Also, it behooves us to have a call with eric before friday as to brush up on any loose ends that might be out there, but the way it ~ aears is that you two have done a fabulous job in selling labaton and all eric has to do is to convince that time is of the essence and their engagement will serve the highest and best interest of his organlzation. with the above rant, I thank you both and wish you a happy weekend. senor K From: [email protected] [mailto:[email protected]] Sent: Fri 11/2/2012 12:46 PM To: Elizabeth Burkhardt; Kamran Mashayekh; Damon chargois Subject: Mtg ~ CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033089 Case 1:11-cv-10230-MLW Document 454-118 Filed 08/16/18 Page 2 of 2 Got the call from~ He would prefer" mtg on Fridays. He wants to meet w me first on Friday the 9th and then ok to bring in Labaton rep (Eric?) for the following Friday the 16th. we’ll huddle tmrw at gala. Gracie Gracie saenz CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033090 Case 1:11-cv-10230-MLW Document 454-119 Filed 08/16/18 Page 1 of 1 Message From: Damon Chargois [[email protected]] Sent: 5/8/2013 12:05:49 AM To: Belfi, Eric J. [[email protected]] Subject: Re: RE: I’ll reach out via phone tomorrow. Sent from my iPhone on May 7, 2013, at 4:53 PM, "Belfi, Eric J." > Have you heard anything back? > > ..... Original Message ..... From: Damon Chargois [mailto:[email protected]] > Sent: Tuesday, April 30, 2013 6:37 PM > TO: III [email protected] > cc: Belfi, Eric J. > Subject: > > Thank you for meeting with us yesterday,~ I hope that it is the start of a wonderful relationship with you and~ I am including Eric and Gracie on this email and invite you to contact any of us anytime. I can also be reached on my cellphone ate. > > > ***Privilege and confidentiality Notice*** > > This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033096 Case 1:11-cv-10230-MLW Document 454-120 Filed 08/16/18 Page 1 of 1 Message From: Damon Chargois [[email protected]] Sent: 4/30/2013 10:36:45 PM To: ~ Graciela @saenzburkhardt.com CC: gelfi, Eric J. [[email protected]] Thank you for meeting with us yesterday, I hope that it is the start of a wonderful relationship with you and~ I am including Eric ~racie on this email and invite you to contact any of us anytime. I can also be reached on my cellphone at ~ CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033100 Case 1:11-cv-10230-MLW Document 454-121 Filed 08/16/18 Page 1 of 2 Message From: Auld, Dominic J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=AULDD] Sent: 2/18/2014 11:23:37 PM To: Belfi, Eric J. [[email protected]]; Keller, Christopher J. [[email protected]] CC: Avan, Rachel [[email protected]] Subject: spoke with chris - strategy in place for the near-term, let’s manage the landscape as it presents itself. thanks From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 6:12 PM To: Keller, christopher J.; Auld, Dominic J. Cc: Avan, Rachel subject: RE: ~ Our application was with~ One of their lawyers was a former state Legislator and he had been working the political angle but we have not been able to get them to rule on now two RFPs. I had heard that there had been a second cleaning at ~so I am not sure that we have any real gy anymore. Damon does not have any contacts left there. Let me reach out to the lawyer at~ i to see if he has anything new to report. From: Keller, christopher J. sent: Tuesday, February 18, 2014 6:08 PM To: Belfi, Eric J.; Auld, Dominic J. Cc: Avan, Rachel subject: RE: ~ We should discuss and strategize. Did we go in through Damon? Do we have an existing strategic relationship? christopher J. Keller Partner I Labaton sucharow LLP 140 Broadway, 34th Fl New York, NY 10005 Ph. 212-907-0853 From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 5:42 PM To: Auld, Dominic J.; Business Development-=Group Cc: Avan, Rachel subject: RE: ~ We still have an outstanding RFP with ~ Rachel can provide when it was submitted. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033187 Case 1:11-cv-10230-MLW Document 454-121 Filed 08/16/18 Page 2 of 2 Eric From: Auld, Dominic J. Sent: Tuesday, February 18, 2014 5:40 PM To: Business Develo)ment--Group subject: Hi all, I’m meeting up with the General Counsel, ~, in Austin on T~was introduced (and graciously recommended) last year by a mutual friend who is a partner at ~former firm I ~ and have seen her socially a couple of times before. Does anyone at the firm have historical contact with this entity that I should know about? Any context that might be helpful? Anyone else I should look up while in Austin? Thanks Dominic J. Auld Partner Labaton sucharow LP 140 Broadway New York, NY, 10005 212 907 0619 - direct 917 515 2456 - mobile www.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033188 Case 1:11-cv-10230-MLW Document 454-122 Filed 08/16/18 Page 1 of 4 Message From: Auld, Dominic J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=AULDD] Sent: 2/19/2014 7:24:51 PM To: Belfi, Eric J. [[email protected]] CC: Keller~ r, Christopher . [[email protected]] Subject: Re: They seem to have accomplished exactly nothing in two-plus years - so it doesn’t sound like there is anything to "back off". Perhaps we should review the approach. Also, I asked you about ~last year and you did not point out that we have local influence-peddlers working on it - you merely mentioned a stale RFP. Reaching out to them immediately prior to my meeting with the General Counsel is about as sensible as my giving you no notice, so in that respect, we are both at fault. For my failure there, I apologize. From: Belfi, Eric J. To: Auld, Dominic J. Cc: Keller, Christopher J. Sent: Wed Feb 19 14:18:53 2014 Subject: Re: ~ Dom: We have jointly worked with them to secure this client for the past 2 years. We submitted a joint response with them to a RFP. You cannot show up the right before you have arranged a meeting and have me tell them to back off. First, a little notice would have been helpful here. Second, we may be stuck with them. However, he is checking the political channels so I do not think it will conflict with anything that you are doing. Eric Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236 On Feb 19, 2014, at 2:09 PM, "Auld, Dominic J." That is not a good answer - that means they have gassed up the machine again - please dissuade them from any further efforts on our behalf at this time. From: Belfi, Eric ]. To: Auld, Dominic 3. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033189 Case 1:11-cv-10230-MLW Document 454-122 Filed 08/16/18 Page 2 of 4 Cc: Keller, Christopher J. Sent: Wed Feb 19 13:57:02 2014 Subject: RE: ~ He said that he would get back to us in ~ couple o£ days. From: Auld, Dominic J. Sent: Wednesday, February 19, 2014 10:24 AM To; Belfi, Eric J. Cc: Keller, Christopher J. Subject: RE’~ OK bt~t lets keep it: that way please, I really don t need/want any helpon this right now, This is not an opportune moment to get them interested in hustling for us again. Please let us know what they smi when you hear back. -[hanks From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 10:49 PM To; Auld, Dominic J. Cc: Keller, Christopher J. Subject: Re:~ I already reached out to them to get a status report. I am sure it will come back as nothing going on. Eric Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: :1.212.907.0878 c: 1.516.509.5236 On Feb 18, 2014, at 10:47 PM, "Auld, Dominic J." On Feb 18, 2014, at 6:24 PM, "Belfi, Eric J." Ericl. BelfilPartner Labaton Sucharow LIP 140 Broadway, New York, New York 10005 T: 1212~ 907-0878 I F: ~212l 883-7078 E: [email protected] I W:www.labaton.com On Feb 18, 2014, at 6:23 PM, "Auld, Dominic Jo" CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033190 Case 1:11-cv-10230-MLW Document 454-122 Filed 08/16/18 Page 3 of 4 From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 6:12 PM To: Keller, Christopher J.; Auld, Dominic J. Cc: Avan, Rachel Subject: RE: ~ Our application was with~ One of their lawyers was a for~ner State Legislator and he had been working the political angle but ~ve have not been able to get them to role on now two RFPs. I had heard that there had been a second cleaning at ~ so I am not sure that we have any real strategy anymore. Damon does not have any contacts left there. Let me reach out to the lawyer at ~ to see if he has anything new to report From: Keller, Christopher J. Sent: Tuesday, February 18, 2014 6:08 PM To: Belfi, Eric 34 Auld, Dominic J. Co: Avan, Rachel Subject: RE: ~ We should discuss and strategize. Did we go in through Damon? Do we have an existing strategic relationship? Christopher J. Keller Partner [ LabaLon Sucharow LLP 140 Broadway, 34~:h FI New York, NY Ph. 212-907-O853 From: BelfJ, Eric J. Sent: Tuesday, February 18, 2014 5:42 PM To: Auld, Dominic J.; Business Development--Group Cc: Avan, Rachel Subject: RE: ~ Dora: We soil have an outstanding RFP with ~. Rachel can provide when it was submitted. Eric From: Auld, Dominic J. Sent: Tuesday, February 18, 2014 5:40 PM To: Business Development--Group Subject: Im meeting up with the General Counsel, ~ in Austin on Thursday. I was introduced (and graciously recommended) last year by a mutual friend who is a partner at ~ former firm ~and have seen her CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033191 Case 1:11-cv-10230-MLW Document 454-122 Filed 08/16/18 Page 4 of 4 socially a couple of times before. Does anyone at the firm have historical contact with this entity that I should know about? Any context that might be helpful? Anyone else I should look up while in Austin? Thanks Dom Dominic J. Auld Partner Labaton Sucharow LP 140 Broadway New York, NY, 10005 212 907 0619- direct 917 515 2456 - mobile [email protected] www.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033192 Case 1:11-cv-10230-MLW Document 454-123 Filed 08/16/18 Page 1 of 4 Message From: Auld, Dominic J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=AULDD] Sent: 2/19/2014 7:09:49 PM To: Belfi, Eric J. [[email protected]] CC: Keller, Christopher J. [[email protected]] Subject: That is not a good answer - that means they have gassed up the machine again - please dissuade them from any further efforts on our behalf at this time. From: Belfi, Eric J. To: Auld, Dominic J. Cc: Keller, Christopher J. Sent: Wed Feb 19 13:57:02 2014 Subject: RE: ~ He said that he would get back to us in a couple of days. From: Auld, Dominic J. Sent: Wednesday, February 19, 2014 10:24 AM To: Belfi, Eric J. Cc: Keller, Christopher J. Subject: RE: ~ OK but lets keep it that way please, I really don t need/want any helpon this right now. This is not an opportune moment to get them interested in hustling for us again. Please let us know what they say, when you hear back. ]hanks From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 10:49 PM To: Auld, Dominic J. Cc: Keller, Christopher J. Subject: Re: ~ I already reached out to them to get a status report. I am sure it will come back as nothing going on. Eric Belfi Partner CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033193 Case 1:11-cv-10230-MLW Document 454-123 Filed 08/16/18 Page 2 of 4 Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236 On Feb 18, 2014, at 10:47 PM, "Auld, Dominic J." Please don’t reach out to BB until I have reported back. No point in rekindling their interest until we need it. On Feb 18, 2014, at 6:24 PM, "Belfi, Eric J." Let us know what you find out. La a on Ericl. BelfilPartner Labaton Sucharow LLP 140 Broadway, New York, New York 10005 T: (2:12) 907-0878 1 F: (212)883-7078 E: [email protected] I W:www.labaton.com On Feb 18, 2014, at 6:23 PM, "Auld, Dominic J." Spoke with Chris strategy in place for the near-term, lets manage the landscape as it presents itself, thanks From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 6:12 PM To: Keller, Christopher 3.; Auld, Dominic 3. Cc: Avan, Rachel Subject: RE: Texas Teachers CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033194 Case 1:11-cv-10230-MLW Document 454-123 Filed 08/16/18 Page 3 of 4 Our application was with One of their laxwers was a former State Legislator and he had been xvorking the political angle but xve have not been able to get them to 1~e on now two RFPs. I had hemd that there had been a second cleaning at ~ so I m’n not sure that we have any real strategy anymore. Damon does not have any contacts left there. Let me reach out to the lawyer at ~ to see if he has anything new to report. From: Keller, Christopher J. Sent: Tuesday, February 18, 2014 6:08 PM To: Belfi, Eric 34 Auld, Dominic J. Co: Avan, Rachel Subject: RE: ~ We should discuss and strategize. Did we go in through Damon? Do we have an existing strategic relationship? Christopher I. Keller Partner I Labaton Sucharow LLP :[40 Broadway, ..4 FI New York, NY 10005 Ph. 21.2.-907-0853 From: Belfi, Eric J. Sent: Tuesday, February 18, 2014 5:42 PM To: Auld, Dominic J.; Business Development--Group Cc: Avan, Rachel Subject: RE: ~ Dolt1].: \:~,’e still have an outstanding RFP with~. Rachel can provide when it was submitted. Eric CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033195 Case 1:11-cv-10230-MLW Document 454-123 Filed 08/16/18 Page 4 of 4 From: Auld, Dominic J. Sent: Tuesday, February 18, 2014 5:40 PM To; Business Development--Group Subject: ~ Im meeting up with the General Counsel,~, in Austin on Thursday. I was introduced (and graciously recommended) last year by a mutual friend who is a partner at ~former firm ~and have seen her socially a couple of times before. Does anyone at the firm have historical contact with this entity that I should know about? Any context that might be helpful? Anyone else I should look up while in Austin? Thanks Dom Dominic J. Auld Partner Labaton Sucharow LP 140 Broadway New York, NY, 10005 212 907 0619- direct 917 515 2456 - mobile www.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033196 Case 1:11-cv-10230-MLW Document 454-124 Filed 08/16/18 Page 1 of 1 Message From: Damon Chargois [[email protected]] Sent: 4/12/2011 3:55:57 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Investment No problemo. I am going to speak to Kherkher about connecting sean to the right people over the various If you recall, steve is adhd and rarely maintains focus, so it will be a challenge. ..... original Message ..... From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, April 12, 2011 10:26 AM To: Damon Chargois subject: Re: Investment Thank you for talking to my brother. Eric Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236 On Apr 12, 2011, at 10:15 AM, "Damon Chargois" > cool. The sooner the better, as I am putting off others, say, within the next 2-4 weeks? > > Sent from my iPhone > > on Apr 12, 2011, at 8:21 AM, "Belfi, Eric J." chris and me are interested - what is the timing? Eric Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236 P Please consider the environment before printing this email. ~*’~Pri¯ vi I ege and confi denti al i ty Noti ce*~’~* >> This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or tile person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. >> CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS033395 Case 1:11-cv-10230-MLW Document 454-125 Filed 08/16/18 Page 1 of 1 Message From: /o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=belfie [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=BELFIE] Sent: 5/3/2013 3:11:58 AM To: CC: Damon Chargois [[email protected]]; [email protected] Subject: RE: Dear Rhonda: Thank you for taking time to meet with us and walk through some of issues facing pension funds on the monitoring/litigation side. Please let me know if you need any addition information on potential International or Domestic claims. Best regards, Eric Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com ..... original Message ..... From: Damon Chargois [mailto:[email protected]] Sent: Tuesday, April 30, 2013 6:37 PM To: [email protected]; [email protected] cc: Belfi, Eric 3. Subject: Thank you fo ~g with us yesterday, Rhonda. I hope that it is the start of a wonderful relationship with you and I am including Eric and Gracie on this email and invite you to contact any of us anytime. I can a ) be reached on my cellphone at 832-671-9993. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS034765 Case 1:11-cv-10230-MLW Document 454-126 Filed 08/16/18 Page 1 of 4 Case 1:11-cv-10230-MLW Document 454-126 Filed 08/16/18 Page 2 of 4 Case 1:11-cv-10230-MLW Document 454-126 Filed 08/16/18 Page 3 of 4 Case 1:11-cv-10230-MLW Document 454-126 Filed 08/16/18 Page 4 of 4 Case 1:11-cv-10230-MLW Document 454-127 Filed 08/16/18 Page 1 of 4 Message From: Sent: 10/10/2007 4:49:28 PM To: Belfi, Eric J. [[email protected]] Subject: Re: [SPAM] - RE: Labaton Sucharow/Portfolio Monitoring - Found word(s) list error in the Text body Eric, I have a 30 minute slot available at 10:00. If you would like more time than that please call me. James "Belfi, Eric J." 10/10/2007 07:20 CC AM Su ject [SPAM] - RE: Labaton sucharowiPortfolio Monitoring - Found word(s) list error in the Text body Dear James: I will be in ~on Thursday, October 18 and would~oula beDe hanapp to meet with you. we are currently scheduled to meet witk on the 18th but we have not yet set a time. I will be in the office tomorrow until 3PM EST - my number is 212-907-0878 or you can reach me by email. Regards, Eric From: Sent: Tuesday, october 09, 2007 3:18 PM To: Belfi, Eric J. Cc: [email protected]; ~ Subject: Re: Labaton sucharowiPor~fol~o Monitoring Mr. Bel fi : CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035448 Case 1:11-cv-10230-MLW Document 454-127 Filed 08/16/18 Page 2 of 4 I re )resent the Board of Directors of the some members "Belfi, Eric J." Dear I had the pleasure of meeting with yesterday concerning the portfolio monitoring of He suggested that I should contact you concerning t~is issue. In order for you to better understand our program, I have attached a summary on our portfolio monitoring system - LPAS. LPAS cross-checks our clients’ holdings and flags those instances where the client is a shareholder in a company accused of misconduct or other wrongdoing, when we identify potential opportunities for loss recovery, we examine the data thoroughly, compute losses based on multiple methodologies, and carefully evaluate each potential case. we only contact clients to see if they wish to take an active role in potential cases that are meritorious and appear to have a good chance of success. In this way, we are able to serve as "eyes and ears" on the ground for clients that oversee significant portfolios and simply cannot afford interruption of their day-to-day business activities. As you can see, we not only provide our institutional clients with information on pending cases but also ensure that our clients are collecting all of the settlement funds that they are entitled to. with over $17 billion made available to investors last year, it is more important than ever to make sure that the funds are monitoring these claims. In "Letting Billions Slip through Your Fingers: Empirical Evidence and Legal Implications of the Failure of Financial Institutions CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035449 Case 1:11-cv-10230-MLW Document 454-127 Filed 08/16/18 Page 3 of 4 to Participate in Securities Class Action Settlements," 58 Start. L. Rev. 411, 450 (2005), the authors found that of the twenty public pension funds they polled, seventeen entrusted claim filings to custodial banks, a system that simply does not work, as is evidenced by the low percentage of recovered funds: "we learned that most institutions relied on their custodian banks to file claims for them in securities fraud class action settlements, that many of these institutions did little monitoring of whether the custodian actually performed these services, and that custodians had financial disincentives to file claims on behalf of their clients. Nevertheless, virtually every respondent reported that their institution filed claims in all settlements in which it was a class member." clearly, the institutions themselves need to become involved in the process or begin to more adequately police their custodians to ensure that claims are filed, we would be happy to conduct a test to see if your custodian is filing all of the proof of claims that they should be. If you provide us with a list of settlements that the custodian has filed proof of claim forms for your funds in the past 12 months, we will cross reference it with our settlement list and send you an analysis. As part of our service, we provide a quarterly report advising the client of the activity during the past quarter (see attached sample quarterly report). I have also attached our firm resume. I plan to be in~ between wednesday, october 17 and Friday, october 19. Please let me know if you would have time to meet and discuss these issues. Thank you for your time and consideration in the matter. Regards, Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, New York 10005 Phone: +1.212.907.0878 Fax: +1.212.883.7078 [email protected] www.labaton.com ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. Lead, Support and serve. The contents of this electronic message, including attachments, are transmitted by the office of state Finance, an oklahoma government agency according to the uniform Electronic Transactions Act, 12A O.S. 15-101 et seq. This message is intended for use by the named addressee only and may contain information that is confidential or private according to state or federal laws. If you have received this electronic message in error, please notify the sender by a "reply to sender only" message, delete it completely from your computer and maintain confidentiality of the message. Any unauthorized disclosure, distribution, or use of the contents of this message is prohibited and subjects the user to penalty of law. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035450 Case 1:11-cv-10230-MLW Document 454-127 Filed 08/16/18 Page 4 of 4 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035451 Case 1:11-cv-10230-MLW Document 454-128 Filed 08/16/18 Page 1 of 3 Message From: Sent: 10/9/2007 1:28:41 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Labaton Sucharow/Portfolio Monitoring "Belfi, Eric J." 10/08/2007 03:48 PM To CC subject Re: Labaton sucharow/Portfolio Monitoring Dear David: How about 11AM on Thursday, october 18th? Regards, Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... original Message ..... From: To: Belfi, Eric J. cc: I I I I Sent: Mon Oct 08 15:56:15 2007 subject: Re: Labaton sucharow/Portfolio Monitoring Eric CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035452 Case 1:11-cv-10230-MLW Document 454-128 Filed 08/16/18 Page 2 of 3 "Belfi, Eric J." 10/04/2007 11:01 PM To CC ~ Dear ~ I had the pleasure of meeting with Tom yesterday concerning the portfolio monitoring of~ ~ He suggested that I should contact you concerning this issue. In order for you to better understand our program, I have attached a summary on our portfolio monitoring system - LPAS. LPAS cross-checks our clients’ holdings and flags those instances where the client is a shareholder in a company accused of misconduct or other wrongdoing, when we identify potential opportunities for loss recovery, we examine the data thoroughly, compute losses based on multiple methodologies, and carefully evaluate each potential case. we only contact clients to see if they wish to take an active role in potential cases that are meritorious and appear to have a good chance of success. In this way, we are able to serve as "eyes and ears" on the ground for clients that oversee significant portfolios and simply cannot afford interruption of their day-to-day business activities. As you can see, we not only provide our institutional clients with information on pending cases but also ensure that our clients are collecting all of the settlement funds that they are entitled to. with over $17 billion made available to investors last year, it is more important than ever to make sure that the funds are monitoring these claims. In "Letting Billions Slip through Your Fingers: Empirical Evidence and Legal Implications of the Failure of Financial Institutions to Participate in Securities Class Action Settlements," 58 Start. L. Rev. 411, 450 (2005), the authors found that of the twenty public pension funds they polled, seventeen entrusted claim filings to custodial banks, a system that simply does not work, as is evidenced by the low percentage of recovered funds: "we learned that most institutions relied on their custodian banks to file claims for them in securities fraud class action settlements, that many of these institutions did little monitoring of whether the custodian actually performed these services, and that custodians had financial disincentives to file claims on behalf of their clients. Nevertheless, virtually every respondent reported that their institution filed claims in all settlements in which it was a class member." clearly, the institutions themselves need to become involved in the process or begin to more adequately police their custodians to ensure that claims are filed, we would be happy to conduct a test to see if your custodian is filing all of the proof of claims that they should be. If you provide us with a list of settlements that the custodian has filed proof of claim forms for your funds in the past 12 months, we will cross reference it with our settlement list and send you an analysis. As part of our service, we provide a quarterly report advising the client of the activity during the past quarter (see attached sample quarterly report). I have also attached our firm resume. I plan to be in--between wednesday, october 17 and Friday, october 19. Please let me know if you would have time to meet and discuss these issues. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035453 Case 1:11-cv-10230-MLW Document 454-128 Filed 08/16/18 Page 3 of 3 Thank you for your time and consideration in the matter. Regards, Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, New York 10005 Phone: +1. 212. 907.0878 Fax: +1.212.883. 7078 ebel fi @l abaton, corn ~w. I abaton, com ~’~*~’~Pri vi I ege and confi denti al i ty Noti ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS035454 Case 1:11-cv-10230-MLW Document 454-129 Filed 08/16/18 Page 1 of 5 Case 1:11-cv-10230-MLW Document 454-129 Filed 08/16/18 Page 2 of 5 Case 1:11-cv-10230-MLW Document 454-129 Filed 08/16/18 Page 3 of 5 Case 1:11-cv-10230-MLW Document 454-129 Filed 08/16/18 Page 4 of 5 Case 1:11-cv-10230-MLW Document 454-129 Filed 08/16/18 Page 5 of 5 Case 1:11-cv-10230-MLW Document 454-130 Filed 08/16/18 Page 1 of 2 Message From: Asciolla, Gregory S. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=ASCIOLG ] on behalf of Asciolla, Gregory S. [/o=Goodkin Labaton Rudolf Sucharow/ou=First Administrative Group/cn=Recipients/cn=asciolg] Sent: 7/21/2010 4:04:35 PM To: ’[email protected]’ [[email protected]] CC: Belfi, Eric J. [[email protected]] Subject: Re: ~ Thanks much Damon. From: Damon Chargois To: Asciolla, Gregory S. Cc: Belfi, Eric 3. Sent: Wed 3ul 21 12:05:08 2010 Subject: RE: ~ I have visited with ~ President of ~. He negotiates contracts on behalf of many unions, including r. ~ is the largest. I have him working to secure what you want. Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [mailto:[email protected]] Sent; Tuesday, 3uly 20, 2010 11:05 AM CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039487 Case 1:11-cv-10230-MLW Document 454-130 Filed 08/16/18 Page 2 of 2 To: Damon Chargois Cc: Belfi, Eric Subject: ~ Hi Damon, Did you have any luck setting up a meeting with the ~? Thanks for any updates, Greg Gregory S. Asciolla, Esq. Labaton Sucharow LLP 140 Broadway New York, New York 10005 Direct Dial: 212.907.0827 Direct Fax: 212.883.7527 [email protected] wwwJabaton.com .+ ***Privilege and Confidentiality Notice*** Thi s electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use &the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039488 Case 1:11-cv-10230-MLW Document 454-131 Filed 08/16/18 Page 1 of 4 Message From: Asciolla, Gregory S. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROU P/CN=RECIPIENTS/CN=ASCIOLG] on behalf of Asdolla, Gregory S. [/o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=asciolg] Sent: 8/4/2010 9:32:02 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Yes. We still want to follow our other leads, but this one looks dead. From: Belfi, Eric J. Sent: Wednesday, August 04, 2010 5:31 PM To; Asciolla, Gregory S. Subject: Fw:~ Should I tell him that it is not worth it. Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com From: Damon Chargois To: Asciolla, Gregory S. Cc: Belfi, Eric 3. Sent: Wed Aug 04 14:29:29 2010 Subject: RE: ~ I keep getting rerouted to the same lawyer that you guys are dealing with~ Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039491 Case 1:11-cv-10230-MLW Document 454-131 Filed 08/16/18 Page 2 of 4 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [mailto:[email protected]] Sent: Wednesday, 3uly 21, 2010 11:05 AM To: Damon Chargois Cc: Belfi, Eric 3. Subject: Re: ~ Thanks much Damon. From: Damon Chargois To: Asciolla, Gregory S. Cc: Belfi, Eric 3. Sent: Wed 3ul 21 12:05:08 2010 Subject: RE:~ I have visited with ~1, President of . He negotiates contracts on behalf of many unions, including is the largest. I have him working to secure what you want. Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039492 Case 1:11-cv-10230-MLW Document 454-131 Filed 08/16/18 Page 3 of 4 1 his electronic message contains information that Js (a) LEGALLY PRIVILEGED, PROPRIEIARY IN NAI URE, OR O1HERWISE PROfECIED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [mailto:[email protected]] Sent: Tuesday, .July 20, 20::[0 1:[:05 AM To; Damon Chargois Co: BeN, Eric 3. Hi Damon, Did you have any luck setting up a meeting with the ~? Thanks for any updates, Greg Gregory S. Asciolla, Esq. Labaton Sucharow LLP 140 Broadway New York, New York 10005 Direct Dial: 212.907.0827 Direct Fax: 212.883.7527 .qascio!|[email protected] wwwJabaton.com ***Privil ege and Confidentiality Nod ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039493 Case 1:11-cv-10230-MLW Document 454-131 Filed 08/16/18 Page 4 of 4 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039494 Case 1:11-cv-10230-MLW Document 454-132 Filed 08/16/18 Page 1 of 4 Message From: Asciolla, Gregory S. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROU P/CN=RECIPIENTS/CN=ASCIOLG] on behalf of Asdolla, Gregory S. [/o=Goodkin Labaton Rudoff Sucharow/ou=First Administrative Group/cn=Recipients/cn=asciolg] Sent: 8/4/2010 9:39:49 PM To: Belfi, Eric J. [[email protected]]; ’[email protected]’ [[email protected]] Subject: Thanks Damon for your efforts. From: Belfi, Eric J. Sent: Wednesday, August 04, 2010 5:38 PM To; ’[email protected]’; Asciolla, Gregory S. Subject: Re: 1 Thank you for your effort - sounds like you should probably stand down. Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com From: Damon Chargois To: Asciolla, Gregory S. Cc: Belfi, Eric 3. Sent: Wed Aug 04 14:29:29 2010 Subject: RE: ~ I keep getting rerouted to the same lawyer that you guys are dealing with Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039495 Case 1:11-cv-10230-MLW Document 454-132 Filed 08/16/18 Page 2 of 4 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [mailto:[email protected]] Sent: Wednesday, 3uly 21, 2010 11:05 AM To: Damon Chargois Cc: Belfi, Eric 3. Subject: Re: ~ Thanks much Damon. From: Damon Chargois To: Asciolla, Gregory S. Cc: Belfi, Eric 3. Sent: Wed 3ul 21 12:05:08 2010 Subject: RE: Fenders I have visited with I~1, President of ~ He negotiates contracts on behalf of many unions, including is the largest. I ha\ ng to secure w )at you want. Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039496 Case 1:11-cv-10230-MLW Document 454-132 Filed 08/16/18 Page 3 of 4 l hJs electronic message contains information that Js (a) LEGALLY PRIVILEGED, PROPRIE IARY IN NAI URE, OR O1HERWISE PROfECIED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [mailto:[email protected]] Sent: Tuesday, .July 20, 20::[0 1:[:05 AM To; Damon Chargois Co: BeN, Eric ,1. Subject: ~ Hi Damon, Did you have any luck setting up a meeting with the ~? Thanks for any updates, Greg Gregory S. Asciolla, Esq. Labaton Sucharow LLP 140 Broadway New York, New York 10005 Direct Dial: 212.907.0827 Direct Fax: 212.883.7527 gascio!|[email protected] wwwJabaton.com ***Privil ege and Confidentiality Nod ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039497 Case 1:11-cv-10230-MLW Document 454-132 Filed 08/16/18 Page 4 of 4 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039498 Case 1:11-cv-10230-MLW Document 454-133 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 9/29/2010 2:30:00 PM To: Belfi, Eric J. [[email protected]]; Asciolla, Gregory S. [[email protected]] CC: Lerner, Kellie [[email protected]] Subject: The last conversation that you and i had led me to believe that there was a time crunch and i relayed my thought that my contact would not be helpful on short notice. ..... Original Message ..... From: Belfi, Eric J. [..n.~..i..~..t..~...;..L.7..B.....e..~..~..~.~.~5~.~.a~b..~.t.£..n.:..c.‘...~.~L~] Sent: Wed 9/29/2010 9:21 AM To: Dmnon Clmrgois; Asciolla, Grego~ S. Cc: Lemer, Kellie Subject: RE: ~ What ever happened with From: Damon Chargois [mailto:damonfi~.cn~hllp.com] Sent: Wednesday, July 21, 2010 12:05 PM To: Asciolla, Gregory S. Cc: BeN, Eric J. Subject: RE: ~ I have visited with ~ He negotiates contracts on behalf of many unions, I I II I I I ] ] ] ] ] ] ] ] ] ] ] ~ is the largest. I have him working to secure what you want. Damon J. Clrargois Chargois & Herron, LLP 2201 Timberloch Place Suile 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only :for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is protfibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Asciolla, Gregory S. [~N!_i_[t_o.2~___A.__~__c__i._o___l__l__a__~_~2_l_~Lb___a__!:_o_.!L_c_£L_n_] Sent: Tuesday, July 20, 2010 11:05 AM To: Damon Chargois Cc: BeN, Eric J. Hi Damon, Did you have a~\v luck setting up a meeting with the ~? Thanks for aw updates, Greg CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039499 Case 1:11-cv-10230-MLW Document 454-133 Filed 08/16/18 Page 2 of 2 Gregory S. Asciolla, Esq. Labaton Sucharow LLP 140 Broadway New York, New York 10005 Direct Dial: 212.907.0827 Direct Fax: 212.883.7527 ga s cio lla@lab ato n. c o m< ~..nAi..~..t..~.!.~g~.-s..c.‘..i..~...~..~.~.~.l..‘.a..[.?.~g...~JL.c...~..~> www.~abat~n.co~n<..h..t..t..p..;/./..~’....~...a..b.-a..~.~....n..:..c...~....n..~/..> P Please consider the environment before printing this email. ***Privilege and Confidentiality Notice*** This electro,tic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended m~ly for the use of the Addressee(s) named herein, ff you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing tlfis message is prohibited. If you have received tlfis electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039500 Case 1:11-cv-10230-MLW Document 454-134 Filed 08/16/18 Page 1 of 2 Message From: Kamran Mashayekh [[email protected]] Sent: 12/6/2010 3:47:16 PM To: Lerner, Kellie [[email protected]] CC: Chaz De La Garza [[email protected]]; Damon Chargois [[email protected]]; Belfi, Eric J. [[email protected]] Subject: RE: conference call today at ten thirty central time to discuss a potential new antitrust case Kellie: I trust you had a nice Thanksgiving. I am writing to follow up on our last conversation and to see if we can assist with your firm’s investigation of the potential antitrust matter that Chaz initiated. If so, please let us know and if you could kindly provide a status of the investigation we would be grateful for your efforts. Warm Regards Kamran From: Lerner, Kellie [mailto:[email protected]] Sent: Wed 11/17/2010 11:03 AM To; Kamran Mashayekh Cc: Chaz De La Garza; Damon Chargois; Belfi, Eric 3. Subject: RE: conference call today at ten thirty central time to discuss a potential new antitrust case KamrantChaz, Thank you again for bringing this potential case to our attention. We will thoroughly investigate these issues and aim to report back shortly after the holiday. Best regards, Kellie Lerner Labaton Sucharow LLP 140 Broadway New York, NY 10005 + 212.907.0885 From: Kamran Mashayekh [mailto:[email protected]] Sent: Wednesday, November 17, 2010 10:55 AM CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039507 Case 1:11-cv-10230-MLW Document 454-134 Filed 08/16/18 Page 2 of 2 To: Lerner, Kellie Co: Chaz De La Garza; Damon Chargois; Belfi, Eric J. Subject: conference call today at ten thirty central time to discuss a potential new antitrust case Kellie: How are vou? I I Warm Regards Kamran Kamran Mashayekh Chargois, Mashayekh & Herron 2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380 281 444-0604 281 440-0t 24 (fax) [email protected] ~ PI ease consi de~: the envi~om~ent be]bxe pri~:~t]n~ thi s e~:-x~ai]. *Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. No virus found in this incoming message. Checked by AVG - www.avg.com Version: 8.5.449 1 Virus Database: 271.1 .t/3261 - Release Date: 11/t7/10 07:34:00 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039508 Case 1:11-cv-10230-MLW Document 454-135 Filed 08/16/18 Page 1 of 3 Message From: Lerner, Kellie [/O=GOODKIN LABATON RUDOFF SUCHAROW!OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=SAFARK] Sent: 12/7/2010 8:17:41 PM To: ’Kamran Mashayekh’ [[email protected]] CC: Chaz De La Garza [[email protected]]; Damon Chargois [[email protected]]; Belfi, Eric J. [[email protected]] Subject: RE: conference call today at ten thirty central time to discuss a potential new antitrust case Kamran, Thanks for your email. My holiday was very nice. We have been investigating tMs potential claim and intend to report back by the end of the week. Best, Kellie From; Kamran Mashayekh [mailto:[email protected]] Sent; Monday, December 06, 20:[0 :[0:47 AN To: Lerner, Kellie Cc; Chaz De La Garza; Damon Chargois; Belfi, Eric 3. Subject; RE: conference call today at ten thirb/central time to discuss a potential new antitrust case Kellie: I trust you had a nice Thanksgiving. I am writing to follow up on our last conversation and to see if we can assist with your firm’s investigation of the potential antitrust matter that Chaz initiated. If so, please let us know and if you could kindly provide a status of the investigation we would be grateful for your efforts. Warm Regards Kamran From= Lerner, Kellie [mailto:[email protected]] Sent; Wed 11/17/2010 11:03 AM To; Kamran Mashayekh Cc; Chaz De La Garza; Damon Chargois; Belfi, Eric 3. Subject: RE: conference call today at ten thirty central time to discuss a potential new antitrust case Kamran/Chaz, Thank you again for bringing this potential case to our attention. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039509 Case 1:11-cv-10230-MLW Document 454-135 Filed 08/16/18 Page 2 of 3 We will thoroughly investigate these issues and aim to report back shortly after the holiday. Best regards, Kellie Lerner Labaton Sucharow LLP 140 Broadway New York, NY 10005 + 212.907.0885 From: Kamran Mashayekh [mailto:[email protected]] Sent: Wednesday, November 17, 2010 10:55 AM To’ Lerner, Kellie Cc: Chaz De La Garza; Damon Chargois; Belfi, Eric J. Subject: conference call today at ten thirty central time to discuss a potential new antitrust case Kellie: How are you? Warm Regards Kamran Kamran Mashayekh Chargois, Mashayekh & Herron 2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380 281 444-0604 281 440-0124 (fax) [email protected] .& ***Privilege and Confidentiality Notice*** Thi s electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039510 Case 1:11-cv-10230-MLW Document 454-135 Filed 08/16/18 Page 3 of 3 No virus found in this incoming message. Checked by AVG - www.avg.com Version: 8.5.449 / Virus Database: 271.1.1/3261 - Release Date: 11/17/10 07:34:00 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039511 Case 1:11-cv-10230-MLW Document 454-136 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 1/6/2010 8:39:51 PM To: Keller, Christopher J. [[email protected]] CC: Belfi, Eric J. [[email protected]] Subject: Re: Tarrant ok. Let’s talk tomorrow, call my cell anytime sent from my iPhone on Jan 6, 2010, at 1:39 PM, "Keller, christopher J." we are thinking about filing a new case there. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] w~v. Labaton.com ..... Original Message ..... From: Damon Chargois [mailto:[email protected]] sent: wednesday, January 06, 2010 2:33 PM To: Keller, christopher J. cc: Belfi, Eric J. subject: Re: Tarrant worked as head of litigation of a plaintiff’s law firm for 7 years in Tarrant County. which judge? Sent from my iPhone On Jan 6, 2010, at 12:48 PM, "Keller, christopher J." Damon, how’s your juice in this county? christopher Keller, Esq. Labaton sucharow LLP 140 Broadway New York, NY 10005 212-907-0853 [email protected] P Please consider the environment before printing this email. ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee (s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039527 Case 1:11-cv-10230-MLW Document 454-136 Filed 08/16/18 Page 2 of 2 >> steps necessary to delete the nlessage completely from your computer >> system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039528 Case 1:11-cv-10230-MLW Document 454-137 Filed 08/16/18 Page 1 of 2 Message From: [email protected] [[email protected]] Sent: 2/21/2009 2:46:43 AM To: Belfi, Eric J. [[email protected]] Subject: Re: Atlanta Ok. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 20 Feb 2009 21:11:04 -0500 To: I am available by cell next week if you want to touch base. From: [email protected] [mailto:[email protected]] Sent: Friday, February 20, 2009 9:06 PM To: Belfi, Eric J. Subject: Re: Atlanta I’ve got it covered. Did u get my email about closure on our agreement? Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 20 Feb 2009 20:49:09 -0500 To: In Kansas unfortunately but I have full faith in your persuasive abilities. Eric J. Beffi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... Original Message ..... From: [email protected] CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039534 Case 1:11-cv-10230-MLW Document 454-137 Filed 08/16/18 Page 2 of 2 Confirmed with Frank a bit ago. Can you come down for lnnch Wednesday? ...... Original Message ...... From: Belfi, Eric J. To: [email protected] Sent: Feb 20, 2009 7:35 PM Subject: Atlanta Did you track down Kwanza today? P Please consider the enviromnent before printing this email. ***Privilege and Confidentiality Notice*** This electronic message contains ilfformation that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended m~ly for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. Sent via BlackBerry by AT&T CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039535 Case 1:11-cv-10230-MLW Document 454-138 Filed 08/16/18 Page 1 of 1 Message From: Damon Chargois [[email protected]] Sent: 3/4/2009 3:00:16 PM To: [email protected]; Belfi, Eric J. [[email protected]]; Frank Stout [[email protected]]; Serendipity Media Group [[email protected]] CC: Ching, Natalie [[email protected]] Subject: RE: Thank you, Kwanza. ..... Original Message ..... From: Kwanza Hall [mailto:[email protected]] Sent: wednesday, March 04, 2009 8:35 AM To: Eric J. Belfi; Frank Stout; Damon Chargois; serendipity Media Group cc: ching, Natalie Subject: The board is meeting now. I just spoke to--representative and the board Chair. l have to issue an rfp. Will make motion to move forward @ end ng. sent via BlackBerry by AT&T CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039537 Case 1:11-cv-10230-MLW Document 454-139 Filed 08/16/18 Page 1 of 1 Message From: Che Williamson [[email protected]] Sent: 3/7/2009 10:25:53 PM To: Belfi, Eric J. [[email protected]] CC: Tim Herron [tim@cmhl[p.com] Subject: Eric Could you let me know if Labaton is at all interested in the lady who purchased I need to ~now somet ring or re em to someone, filed a class complaint in the litigation in Dallas. Thanks Che Che’ D. #?ll~amson Chc~rgois & Herron 2201 Timberloch Suite 110 Houston, Texas 77380 281-444-0604 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039538 Case 1:11-cv-10230-MLW Document 454-140 Filed 08/16/18 Page 1 of 2 Message From: [email protected] [[email protected]] Sent: 3/25/2009 12:25:48 AM To: Belfi, Eric J. [[email protected]] Subject: I’m happy to go wherever I can help. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Tue, 24 Mar 2009 19:52:02 -0400 To: How do you want to handle the business end? Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsilnile: +1.212.883.7078 [email protected] www.labaton.com ..... Original Message ..... From: Antwaun Griffin Hey Eric. First, I think someone on your end should contact th~ension l~nds consultant. I say that because I think hed probably ask questions that I couldnt answer re: your work. If you do want me to schedule this meeting, however, let me know. Also, Im in ~later this week and will be meeting with the Deputy Mayor and also reaching out to one of the ci~" funds board ~nembers through a mutual acquaintance, is also the~" and is active with the ~ Due to the relative success lately, hes starting to gain some notoriety within that CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039539 Case 1:11-cv-10230-MLW Document 454-140 Filed 08/16/18 Page 2 of 2 community and should be able to help with getting in front of other fund directors. Finally, Im in negotiations with a national govermnent affairs firm with pre-existing contacts with maw jurisdictions to do work in their shop. Ifyoud like to explore formalizing a relationship and have me put together a more organized program to get you in front of these funds/managers, please let me know. Call me if you want to chat.. Antwaun From: Belfi, Eric J. [mailto:EBelfi(~labaton.com] Sent: Monday, Mamh 23, 2009 9:48 PM To: [email protected] m Antwatm: What are the next steps with~- I may be down there in the next couple of weeks? Eric Eric J. Belfi Parmer Labaton Sucharow LLP 140 Bmad~vay New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com P Please consider the environment before printing tiffs email. ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us inunediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039540 Case 1:11-cv-10230-MLW Document 454-141 Filed 08/16/18 Page 1 of 1 Message From: [email protected] [[email protected]] Sent: 4/4/2009 3:32:47 AM To: Belfi, Eric J. [[email protected]] CC: [email protected] Subject: Re: Antwaun Sounds good. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 3 Apr 2009 23:08:03 -0400 To: I had lunch with Antwaun on \Vednesday and he introduced me to his friend Bendele McQueen of McKenna Long Aldgridge - he is a laxvyer at a lobbying firm. Give me a call ~vhen you have a chance so we can go over next moves. Eric j. Belt5 Partner Labaton Sucharow LLP 1140 Broadway New York, New York 10005 Phone: + 1.212.907.0878 Fax: +1.212.883.7078 _e__t__)___e_.l__~.l ab a t o n. c o n~ www.labaton.com ***Privilege and Confidentiality Notice ’ This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY 1N NATURE, OR OTtIERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of fl~e Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), yon m’e hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps neeessa~T to delete the message completely ficom your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039541 Case 1:11-cv-10230-MLW Document 454-142 Filed 08/16/18 Page 1 of 4 Message From: Damon Chargois [[email protected]] Sent: 4/14/2009 3:21:21 PM To: Belfi, Eric J. [[email protected]]; Frank Stout [[email protected]] CC: [email protected]; Tim Herron [[email protected]] Subject: RE: Meeting That’ll work/ From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, April 14, 2009 9:52 AM To; Damon Chargois; Frank Stout Co: [email protected]; Tim Herron Subject: RE: Meeting We can have some materials shipped to Atlanta for the meetings. From: Damon Chargois [mailto:[email protected]] Sent; Tuesday, April 14, 2009 10:41 AM To; BeN, Eric 3.; Frank Stout Cc: [email protected]; Tim Herron Subject= RE: Meeting One thing I don’t have are your updated Labaton brochures with performance statistics. I have no ego and don’t mind waiting. From= Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, April 14, 2009 9:35 AM To; Damon Chargois; Frank Stout Co-" [email protected]; Tim Herron Subject: RE: Meeting If you can handle - that works for me. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039550 Case 1:11-cv-10230-MLW Document 454-142 Filed 08/16/18 Page 2 of 4 From: Damon Chargois [mailto:[email protected]] Sent: Tuesday, April 14, 2009 10:34 AM To: Belfi, Eric J.; Frank Stout Cc: [email protected]; Tim Herron Subject: RE: Meeting Eric, I can do next week, unless you really think you need to be there personally. From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, April 14, 2009 9:30 AM To: Frank Stout Co: Damon Chargois; [email protected]; Tim Herron Subject: RE: Meeting An.~vay we ca do it the following week, April 28th - my schedule is little tight next week. From: Frank Stout [mailto:[email protected]] Sent: Monday, April 13, 2009 6:20 PM To: Belfi, Eric J. Cc: I called and am waiting to match up calendars. I should hear back shortly Frank Frank Stout Partner Regan&Riley Tel: (404) 323-3846 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039551 Case 1:11-cv-10230-MLW Document 454-142 Filed 08/16/18 Page 3 of 4 On Apr 13, 2009, at 5:08 PM, "Belfi, Eric J." I could travel Tuesday. Eric J. Belfi Partner Labaton Sucharow LLP 140 Broad~vay New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 cbclfi(@abaton.com ...... www.labaton.com ..... Original Message ..... From: Damon Chargois <_d__a_j_~_o._~(q)._c__~gl_~l__l__p_:._c_.__o____m_._> To: _l_’_r_a_ ~ ~_k__ ~ _t_ _o_ ~ ~!:~ _r_c_ g ~_n_r_.i__l__e_~ L _c?_o___n_. ~ ~ [.r_a_~ ~_k_.~_t__o__gt_~qz~i_e_g ~ !__g_iJ_.e_~2_c?.__o____n_~>; B e ffi, Eric J. Cc: ._e___b__$~__d___i_gi__t_5:~!i.___c_.9____m_ <_c__’_b__~/~__d_)_pj_l_~ip__r__.__c___o._~_~.>; Tiln Herron Either one of us, I say. Time should be the determi~Jng factor. I cantraveljust about any day next week. From: [email protected] [mailto:fra~kkstout@rega~kriley.com] Sent: Monday, April 13, 2009 1:52 PM To: Belfi,Eric J. Cc: Damon Chargois; eb@dipi|ypr.com; Tim Herron Subject: Meeting Efic/Damou- Ebony has been working hard on setting up meetings with individuals in charge or involved in the pension program. She has been sending me ~mmes and contacts and I have been making contact to set up meetings ASAP. Please let me know if you both would like to come into town or if only one of you would like to come into town, In my hu~nble opi~fiot~, one you will have to be here. Please let me know Frank .& ~’,-~ Please consider tl~e e~dronme~t be~*o~e printh~g this emaiJ. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039552 Case 1:11-cv-10230-MLW Document 454-142 Filed 08/16/18 Page 4 of 4 ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039553 Case 1:11-cv-10230-MLW Document 454-143 Filed 08/16/18 Page 1 of 3 Message From: Damon Chargois [[email protected]] Sent: 4/20/2009 2:24:50 PM To: ~ Belfi, Eric J. [[email protected]] CC: Tim Herron [[email protected]] Subject: Thank you, Frank. Let me know when I need to get out there. Sent: Monday, April 20, 2009 8:13 AM To: Belfi,Eric J. Cc; Damon Chargois; Tim Herron Subject: RE’~ The meeting went well and we are making progress. I sent~ an e-mail as well requesting assistance and am waiting to hear back from her. I hope to push this forward and come to some closure All my best ...... Original Message ...... Subject: Re: ~ From: "Belfi, Eric J." Cc: How did the meeting go? Eric CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039555 Case 1:11-cv-10230-MLW Document 454-143 Filed 08/16/18 Page 2 of 3 Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: 4-1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www. labaton.com ..... Original Message ..... From: To: Belfi, Eric J. Cc: Damon Chargois Eric- T understand and T am trying to clear up any contusion this afternoon. T am meeting with ~ at 8:00AM on Saturday morning. I am also setting up a meeting with ~ My best Frank ...... Original Message Subject: RE: ~ From: "Belfi, Eric J." it seems that there is a real disconnect because the service that I offers is different then what we offer. I describe our service as complimentary to/ Many of our clients have the/service. From: Sent: Friday, April 17, 2009 10:39 AM To: Belfi, Eric J. Cc: Damon Chargois; Tim Herron Subject: ~ Eric- Italked with ~last night and found out what was going on. One of the city councilmen requested to squash the RFP because ~ whom manages the fund, offers this CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039556 Case 1:11-cv-10230-MLW Document 454-143 Filed 08/16/18 Page 3 of 3 service. ~has already made note that the service is free of charge and also commented this week how the bank might offer the service, yet never followed through on the service. ~is going to propose the RFP option at the next meeting. I am also working on setting up a meeting with other key individuals within the city in an effort to quickly close this up and allow us to move forward. Frank P Please consider the environment before printing this email. *--**Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIV:ILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039557 Case 1:11-cv-10230-MLW Document 454-144 Filed 08/16/18 Page 1 of 2 Message From: [email protected] [[email protected]] Sent: 4/24/2009 8:38:02 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Ltr to Eric Belfi and Chris Keller- Draft Agreement 04-07-09 (3) Please email Frank and Tim for details. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 24 Apr 2009 16:21:56 -0400 To: I can - what time? Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsilnile: +1.212.883.7078 ebelfi@laba~on.com www.labaton.com ..... Original Message ..... From: [email protected] Eric. Frank wants to know if you can make it: to Aft monday night. I cannot bc o:fju~. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Dale: Thu, 23 Apr 2009 01:43:51 -0400 To: Keller, Christopher J. I made one little edit on Georgia as we already independently represent the State of Georgia. From: Keller, Christopher J. Sent: Wednesday, April 22, 2009 3:04 PM To: ’damon~cmhllp.com’ Cc: Belfi, Eric J. Subject: Ltr to Eric Belfi and Chris Keller - Draft Agreement 04-07-09 (3) CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039561 Case 1:11-cv-10230-MLW Document 454-144 Filed 08/16/18 Page 2 of 2 Damon, sorry for the long wait. Here are our proposed changes. Hope you are well. Chris P Please consider the enviromnent before printing this email. ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) nitended oniy for the use of the Addressee(s) nmned herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039562 Case 1:11-cv-10230-MLW Document 454-145 Filed 08/16/18 Page 1 of 2 Message From: [email protected] [[email protected]] Sent: 5/29/2009 2:37:57 PM To: Belfi, Eric J. [[email protected]] Subject: Excellent. Looking forward to it. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 29 May 2009 10:24:43 -0400 To: From= [email protected] [mailto:[email protected]] Sent-" Friday, May 29, 2009 10:20 AM To; Belfi, Eric 3. Subject; Re: ~Update Cool. Let’s meet for lunch somewhere, okay? Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Fri, 29 May 2009 10:08:39 -0400 To: From: [email protected] [mailto:[email protected]] Sent-" Friday, May 29, 2009 10:02 AM To~ Belfi, Eric 3. Subject; Re: ~Update Eric, are you and/or Larry going to be in nyc on June 3-5th? I will be up there and want to meet with you, Larry, Gary and Tracey. Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Tue, 26 May 2009 16:25:38 -0400 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039572 Case 1:11-cv-10230-MLW Document 454-145 Filed 08/16/18 Page 2 of 2 To: ~ Subject: Re:~ Update Thank you for the update. Eric J. Belfi Partner Labalon Sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: + 1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.coln ..... Original Message ..... From: ~ To: Belfi, Eric J. Cc: Tim Herron Guys: I met with Senator Adelman last Friday. He is going to connect me with the CFO of~ whom he believes can make the decision about the pension ftmd. I hope to have a meeting set up ASAP. I will let you know as soon as possible Frank ~,~’.~~ ...~ Piea~e consider the environment * * * Pri vi 1 ege an d C on fi d en ti al i ty Noti c e* * * This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary, to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039573 Case 1:11-cv-10230-MLW Document 454-146 Filed 08/16/18 Page 1 of 1 Message From: [email protected] [[email protected]] Sent: 9/9/2009 10:06:07 PM To: Belfi, Eric J. [[email protected]]; [email protected] Subject: Re: Casinos Good deal, Eric. Hi, Mark. My info: Damon J. Chargois [email protected] 832-671-9993 cell 281-444-0604 work Chargois, Mashayekh & Herron, LLP 2201 Timberloch Place #110 The Woodlands, Texas 77380 Sent via BlackBerry by AT&T From: "Belfi, Eric J." Date: Wed, 9 Sep 2009 15:22:23 -0400 To: Damon Chargois Please exchange your contact information so that you might have an opportunity to speak. Eric Eric J. Bclfi Partner Labaton Sucharow LLP 140 Broadway New York, New York 10005 Phone: + 1.212.907.0878 Pax: +1.212.883.7078 ebelfi@labatot~.com www.labaton.com * * *Privilege and Confidentiality Notice** * This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein, if you arc not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing flats message is prohibited. If you have received this electronic mail message in error, please contact us hnmediately at 212-907-0700 and take fl~e steps necessa~’ to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039578 Case 1:11-cv-10230-MLW Document 454-147 Filed 08/16/18 Page 1 of 2 Message From: Damon Chargois [[email protected]] Sent: 3/3/2010 3:.54:57 PM 1o: Belfi, Eric J. [[email protected]] Subject: RE:~ - Monitoring Agreements Hey, Eric. Fm looking forward to Florida, brother. I have some housekeeping stuff to cover with you. Below is an email exchange between us regarding our fee split agreement ~ matters. Question, did we ever reduce this to writing and/or create a document between us that says all pension funds that we help you obtain result in an 80120 fee split? If we have, then I’m just lost and ask you to please send again. If not, let’s wrap one up, okay? Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Fax This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444-0604 or take steps necessary to delete the message completely from your computer system. Thank you. From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, September 01, 2009 11:33 AM To.’ Damon C:hargois; Tim Herron Subject: RE’~- Monitoring Agreements CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039585 Case 1:11-cv-10230-MLW Document 454-147 Filed 08/16/18 Page 2 of 2 From: Damon Chargois [mailto:[email protected]] Sent: Tuesday, September 01, 2009 12:31 PM To: Be~fi, Eric J.; Tim Herron Subject: RE : ~ - Monitoring Agreements Thank you, Eric. We are also confirming our agreement that any attorney fee award realized by your firm as a result of representing either of these funds, or any related funds where Labaton’s representation came about as a result of Chargois, Mashayekh & Herron’s efforts and/or contacts (or our agents, assigns, friends, etc.) will be treated the same as our agreement on the Arkansas Teacher Retirement Fund, namely that gross attorney fees will be divided 80/20 (80% to Labaton, Sucharow and 20% to Chargois, Mashayekh & Herron). From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, September 01, 2009 11:19 AM To: Damon Chargois; Tim Herron Subject: ~ - Monitoring Agreements Damon/Tim: Attached please find the \Vord and PDF versions of the monitoring agreements for Let me know if you need anything else. Eric ~~,<~’,~s .a Please cos.sider the environment L~fc~ "~:~ Ic printh~g this ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039586 Case 1:11-cv-10230-MLW Document 454-148 Filed 08/16/18 Page 1 of 1 Message From: [email protected] [[email protected]] Sent: 6/29/2010 11:09:36 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Tomorrow Wow. sounds good. I have three tax hearings on real estate in the morning. Hook up with tomorrow...... original Message ...... From: Eric 3. Belfi To: Tim Herron To: Damon Chargois Subject: RE: Tomorrow Sent: Jun 29, 2010 6:01 PM Let me know if you are both up for dinner - it is on me. ..... original Message ..... From: Tim Herron [mailto:[email protected]] sent: Tuesday, June 29, 2010 2:35 PM To: Belfi, Eric 3. Subject: RE: Tomorrow I should be. ..... Original Message ..... From: Belfi, Eric 3. [mailto:[email protected]] Sent: Tuesday, June 29, 2010 1:29 PM To: Tim Herron subject: Tomorrow I meeting up with Damon tomorrow in houston - I wanted to see if you are around. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com P Please consider the environment before printing this email. ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTEC-FED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. sent via BlackBerry by AT&T CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039600 Case 1:11-cv-10230-MLW Document 454-149 Filed 08/16/18 Page 1 of 1 Message From: Damon Chargois [[email protected]] Sent: 6/30/2010 3:12:18 AM To: Belfi, Eric J. [[email protected]] CC: Tim Herron [[email protected]] Subject: Re: Tomorrow I can catch up to you guys after 8 sent from my iPhone on Jun 29, 2010, at 6:01 PM, "Belfi, Eric J." Let me know if you are both up for dinner - it is on me. ..... original Message ..... From: Tim Herron [mailto:[email protected]] sent: Tuesday, June 29, 2010 2:35 PM To: Belfi, Eric J. Subject: RE: Tomorrow I should be. ..... Original Message ..... From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, June 29, 2010 1:29 PM To: Tim Herron Subject: Tomorrow I meeting up with Damon tomorrow in houston - I wanted to see if you are around. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com P Please consider the environment before printing this email. ~**Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee (s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039602 Case 1:11-cv-10230-MLW Document 454-150 Filed 08/16/18 Page 1 of 1 Message From: Gottlieb, Louis [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=GOTTLIL] Sent: 7/13/2010 7:22:21 PM To: Belfi, Eric J. [[email protected]]; Politano, Ray [[email protected]]; Irlin, Katerina [[email protected]]; Andros, Judith [[email protected]] Subject: Hillary Claire Herron Meandor She will be joining the firm as a summer associate for the period July 20 - August 19. Please call me if you have any questions. Lou CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039603 Case 1:11-cv-10230-MLW Document 454-151 Filed 08/16/18 Page 1 of 4 Message From: Damon Chargois [[email protected]] Sent: 12/1/2011 6:04:40 PM To: Belfi, Eric J. [[email protected]] CC: Graciela Saenz [[email protected]]; Kamran Mashayekh [[email protected]]; [email protected] Subject: RE: Application - TXPRS Excellent, Eric. From= Belfi, Eric J. [mailto:[email protected]] Sent= Thursday, December 01, 2011 10:47 AM To; Damon Chargois Subject= Fwd: Application - TXPRS Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1:516.509.5236 Begin forwarded message: From: "Giles, Matthew S." They did receive our application, and we are on the list to be considered today in the board meeting. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039636 Case 1:11-cv-10230-MLW Document 454-151 Filed 08/16/18 Page 2 of 4 From= Belfi, Eric J. Sent: Thursday, December 01, 2011 10:32 AM To’ Giles, Matthew S. Subject-" RE: Application - TXPRS Thank you. From: Giles, Matthew S. Sent: Thursday, December 01, 2011 10:31 AM To-’ BeN, Eric J. Subject= RE: Application - TXPRS We did. The email used was your own, so I would expect follow up from them to go to you. I s~Jll call tiffs morning to confirm their receipt. From: Belfi, Eric J. Sent= Thursday, December 01, 2011 7:22 AM To,’ Giles, Matthew S, Subject: Re: Application - TXPRS Did we send the application in? Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1:516.509.5236 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039637 Case 1:11-cv-10230-MLW Document 454-151 Filed 08/16/18 Page 3 of 4 On Nov 29, 2011, at 1:03 PM, "Giles, Matthew S." No, the online application wan ts con:tact informatio[~ for firxn a~d tbr you, what type ol" business we are, whether we currently have TEXPERS members as clients, whether we have an office in Texas, and whether we currently have any public pension funds as clients. There’s also a note informing ns that membership is $5,ooo/yr. From: Belfi, Eric J, Sent: Tuesday, November 29, 2011 3:52 PM To.’ Giles, Matthew S. Subject: Fwd: Application - TXPRS Is the same application? Eric J. Belfi Partner Labaton Sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1:516.509.5236 Begin forwarded message: From: Elaine Doyal Eric: As a followup to the conference call this morning and in preparation of the application process to TXPRS, please find attached our firm resume. Please let me know if you need any additional information. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039638 Case 1:11-cv-10230-MLW Document 454-151 Filed 08/16/18 Page 4 of 4 Sincerely, M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-012_4 - Facsimile This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee{s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee{s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444- 0604 or take steps necessary to delete the message completely from your computer system. Thank you. ***Privilege and Confi dentiality Notice* This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary" to delete the message completely fi-om your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039639 Case 1:11-cv-10230-MLW Document 454-152 Filed 08/16/18 Page 1 of 2 Message From: Kamran Mashayekh [[email protected]] Sent: 11/28/2011 11:34:58 PM To: Belfi, Eric J. [[email protected]] CC: Damon Chargois [[email protected]] Subject: FW: summation of our meeting with Gracie Saenz and Max Patterson Eric: I trust you had a nice thanksgiving holiday. Please see below in preparation for our call tomorrow. Thank you Kamran From: Graciela Saenz [mailto:[email protected]] Sent= Sat 11/19/2011 8:25 AM To’ Kamran Mashayekh Cc; Damon Chargois; ’Elizabeth Burkhardt’ Subject= RE: Dear Kamran & Damon: As per our conversation with ~yesterday, 1 outline the following points of interest and then would request that we set: up time for conference (:all with Eric - hopefully by Monday or Tuesday: First----. 5rid out wl~at the exJsth~g p~ograms and education extended to clients tl~m Labaton and w°i~ether there are any l~eld in Texas~ find out what they sper~d in marketing as welJ; 2) I?. t~com.~ a member of the Thi wouJld need to be dor~e quickly since/wou~d need to present list to Board by the December 1 ~ meeting. can caJl] ~to see if she would help push the membership fox, yard as well as ~ from the ~ The purpose of membershii_~ would be to get ready for two conferences next year with the hope that Labaton ca.~:~ be a presenter; Help us break, throu~,h_~ the existin~..... close knit industry gate keepers: I am to contact~ who chairs the ~ to see about who is their Secm:ities Litigafi on attorneys; Roberrt is good fri e~:~d a~:~d former fell ow" of the Ameri ca~~ LeadershiI) Forum which I currently chair. I am to contact to contact~ also of the to iSnd out wl~o theh Secm~tms-~ ° " Litigatior~ team is as well,, 2) would also like to coordinate with Dam.on and go thin kev~ firms i~. "~J cx.a~ a~.d see ,,~hc they use a.s Securities ligaion support. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039640 Case 1:11-cv-10230-MLW Document 454-152 Filed 08/16/18 Page 2 of 2 I am to get back to ~on a special request, Let me know if there are any other points of int:erest I missed, Thanks, Gracie CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039641 Case 1:11-cv-10230-MLW Document 454-153 Filed 08/16/18 Page 1 of 1 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039642 Case 1:11-cv-10230-MLW Document 454-154 Filed 08/16/18 Page 1 of 1 Message From: Elaine Doyal [[email protected]] Sent: 11/29/2011 5:08:36 PM To: Belfi, Eric J. [[email protected]] CC: Damon Chargois [[email protected]] Subject: Application - TXPRS Attachments: Firm Resume - 04-08-10.pdf Eric: As a followup to the conference call this morning and in preparation of the application process to TXPRS, please find attached our firm resume. Please let me know if you need any additional information. Sincerely, M. Elaine Doyal Paralegal to Damon J. Chargois Chargois & Herron, LLP 2201 Timberloch Place Suite 110 The Woodlands, Texas 77380 (281) 444-0604 (281) 440-0124 - Facsimile This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 281-444- 0604 or take steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039643 Case 1:11-cv-10230-MLW Document 454-155 Filed 08/16/18 Page 1 of 4 CHARGOIS, MASHAYEKH & HERRON, L.L.P. ATTORNEYS AT LAW 2201 Timberloch Place, Suite 110 The Woodlands, Texas 77380 (Office) 281-444-0604 (Fax) 281-440-0124 FIRM RESUME Partners DAMON J. CHARGOIS was born on December 26, 1966. He was admitted to the Texas Bar on November 4, 1994, and the Arkansas Bar in 2006. Mr. Chargois received his undergraduate degree in English Literature in 1991 and received his Doctor of Jurisprudence from the University" of Houston Law Center in May, 1994. Mr. Chargois is licensed to practice in all Texas and Arkansas Courts, as well as Federal District Courts and the U.S. 5th Circuit Court of Appeals. Additionally, he has successfully tried a federal case to unanimous positive verdict that was subsequently affirmed by the 5th Circuit Court of Appeals and, then, had writ of certiorari denied by the U.S. Supreme Court, resulting in a final ruling affirming Mr. Chargois’ verdict. Mr. Chargois has handled a variety of class action and mass tort litigation cases, including a commercial, occupational, mass torts, including business transactions, products liability, pharmaceutical, class action, asbestos and benzene chemical exposures. Upon graduating as class captain from his law school, Mr. Chargois worked as a corporate and insurance defense attorney in Dallas, Texas, with the law firm Cowles & Thompson, P.C., while also serving as criminal prosecutor for the townships of Rockwall, Rowlette, and Heath, Texas. In 1996, he became a mass tort plaintiff’s trial lawyer, ultimately rising to Head of Litigation for national law firm Foster & Sear, L.L.P. In 2004, the law firm Chargois & Herron was founded with Damon Chargois and Timothy P. Herron. In 2006, Chargois, Mashayekh & Herron was formed to specialize in commercial and class action CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039644 Case 1:11-cv-10230-MLW Document 454-155 Filed 08/16/18 Page 2 of 4 lawsuits, and expand the firm’s commercial and financial business interests. Mr. Chargois’ practice is multi jurisdictional and he oversees litigation in several states on the federal and state level. He is a member of the State Bar of Texas Litigation Section; the American Association for Justice; and Texas Trial Lawyers Association. Chargois, Mashayekh & Herron has offices in the Woodlands, Texas; Little Rock, Arkansas; and New York, New York. Mr. Chargois is a member of the Board of Directors for the University of Houston Law Alumni Foundation. Additionally, he is a member of the Advisory Board of Directors for Houston Achievement Place, a charity specializing in caring for the needs of at risk foster children. He has also served as a guest lecturer on a number of legal topics, including mass tort litigation and bankruptcy to the University of Arkansas Little Rock Law School. TIMOTHY P. HERRON was born in Hot Springs, Arkansas, on October 18, 1952. He was admitted to the Texas Bar in 1980. Mr. Herron did his undergraduate and graduate education at Texas Christian University receiving a Bachelor of Fine Arts in Speech and Communication in 1974 and a Master of Science in Speech and Communication in 1975. He taught as a professor at Samford University before being awarded a Fulbright Scholarship to attend Baylor Law School in Waco, Texas where he obtained his Juris Doctor Degree in 1980 (cure laude). In law school, he was voted the most outstanding trial advocate in the nation and was on Baylor’s national winning mock trial team. Mr. Herron began as an attorney with Baker & Botts in Houston in the employment litigation section. He left Baker Botts, to become a partner in the firm of Hope & Mays and later Crews & Herron in Conroe, Texas. In 1990, along with Don Wetzel, he formed the law firm of Wetzel & Herron which specialized in insurance defense and commercial litigation. After representing mainly defense and commercial clients for eighteen years, Mr. Herron changed his practice to handle only plaintiffs’ mass torts. In 1998, he started the law firm of Hissey Kientz & Herron with Rob Kientz, and Mike Hissey, which since that time continues to handle CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039645 Case 1:11-cv-10230-MLW Document 454-155 Filed 08/16/18 Page 3 of 4 mass tort litigation. Their cases include a wide range of occupational and mass torts, including asbestos and pharmaceutical litigation. In 2004, the law firm Chargois & Herron was founded with Damon Chargois and Timothy P. tterron. In 2006, the firm expanded to specialize in commercial and class action lawsuits, and expand the firm’s commercial and financial business interests. Mr. Herron’s practice is multi jurisdictional and he oversees litigation in several states on the federal and state level. He is licensed Texas and Arkansas. He is board certified in Civil Trial Litigation since 1989 and is, licensed to practice in the Federal Courts of Texas, and is a member of the State Bar of Texas in the Litigation Section and the AAJ and TTLA. In addition, he is chairman of the Unauthorized Practice of Law Committee of the State Bar of Texas, Region 5A. Chargois & Herron has offices in the Woodlands, Texas; Little Rock, Arkansas; and New York, New York. Mr. Herron has expanded his business interests to include commercial banking and real estate. He was also involved in the founding of Post Oak Bank in Houston in 2003. He has been involved in the development and funding of commercial property development for the past four years in Texas, Oklahoma and Alabama. Tim Herron has resided in Montgomery County, Texas for the past 26 years and has six children and one grandchild. KAMRAN MASHAYEKH was admitted to the Texas State Bar on November 11, 1990. Mr. Mashayekh received his undergraduate degree in Political Science from Rice University in 1987 and received his Doctor of Jurisprudence from South Texas College of Law in August 1989. In 2006, Kamran Mashayekh joined the law firm of Chargois & Herron to specialize in commercial and class action lawsuits and expand the firm’s commercial and financial business interest. Mr. Mashayekh is fluent in English, Arabic, French and Spanish. CHE D. WILLIAMSON was born on November 25, 1964. She is married to Tim Herron and has 2 children and one grandchild. Ms. Williamson earned her Juris Doctor degree from South Texas College of Law in 1989. She has practiced law with her husband, Tim Herron since 1989. Ms. Williamson CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039646 Case 1:11-cv-10230-MLW Document 454-155 Filed 08/16/18 Page 4 of 4 teaches mass torts at the Bowen Law School in Little Rock. She is also board certified in Civil Trial Litigation and holds a Ph.D. degree in criminal justice from Sam Houston State University and an L.L.M. in environmental law and policy from the University Houston Law School. Associates KIRK A. CHARGOIS was born on November 15, 1967 in Houston, Texas. Mr. Chargois received his undergraduate degree in History from the University of Houston in 2003 and, after earning his law degree fi’om Texas Southern University, Thurgood Marshall School of Law, joined the firm on June l, 2006. Mr. Chargois is licensed to practice in the Southern District of Texas. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039647 Case 1:11-cv-10230-MLW Document 454-156 Filed 08/16/18 Page 1 of 2 Message From: Che Williamson [[email protected]] Sent: 3/7/2012 1:22:15 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Next week sounds great! che williamson, chargois & Herron 2201 Timberloch suite 110 woodlands, Texas 77381 On Mar 6, 2012, at 8:31 AM, "Belfi, Eric J." > Do you want to say 5pm? > Eric Belfi > Partner > Labaton sucharow LLP > 140 Broadway > New York, N.Y. 10005 > o: 1.212.907.0878 > c: 1.516.509.5236 > > On Mar 5, 2012, at 4:26 PM, "Che williamson" >> On Mar 5, 2012, at 12:56 PM, "Belfi, Eric J." Eric Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1.516.509.5236 On Mar 5, 2012, at 1:47 PM, "Che Williamson" Eric Do you have time for lunch next week? I will be in town all week for a criminal justice conference. Any day would be good! Hope to see you! >>>> C;) >>>> Che williamson, >>>> chargois & Herron >>>> 2201 Timberloch suite 110 >>>> woodlands, Texas 77381 >>> >>> P Please consider the environment before printing this email. >>> ***Privilege and confidentiality Notice*** >>> This electronic message contains information that is (a] LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b] intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039654 Case 1:11-cv-10230-MLW Document 454-156 Filed 08/16/18 Page 2 of 2 If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS039655 Case 1:11-cv-10230-MLW Document 454-157 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 11:00:40 PM To: Belfi, Eric J. [[email protected]]; =SMTP:[email protected] CC: Chan, Cindy [[email protected]] Subject: ok, we will email it to you for sending toI The cover e-mail I was going to send was going to generally express our their belief that the case is extraordinarily strong, highlighting the off-ba]ance- sheet comparison to~ ~nd note that our report was substantively supported by the expert reports concerning damages, accountlng, and an insider trading analysis all prepared by prominent experts in their field, as well as a substantive investigation headed up by 20 year veteran of the FBI. All this is in the report (including the expert tel to start out with what really sets our approach and analysis apart from the rest that he has or will see. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com Please note our new office address. ..... original Message ..... From: Belfi, Eric 3. Sent: Friday, November 16, 2007 5:55 PM To: Keller, christopher 3.; ’[email protected]’ Subject: Re: ~ I am back and can send it if you have not sent it yet. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] w~w.labaton.com ..... original Message ..... From: Keller, christopher J. To: ’[email protected]’ ok. Do you have him email. And should I address him as 3arvis even though we have not met? christopher 3. Keller, Esq. Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040118 Case 1:11-cv-10230-MLW Document 454-157 Filed 08/16/18 Page 2 of 4 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com Please note our new office address. ..... Original Message From: [email protected] [mailto:[email protected]] sent: Friday, November 16, 2007 5:08 PM To: Keller, christopher J. subject: Re:~ Probably emailing it to me and Jarvis is good. sent via BlackBerry by AT&T ..... Original Message From: "Keller, christopher J." Date: Fri, 16 Nov 2007 16:51:17 To: Damon: the report is done. should we send it directly to Jarvis? By e-mail or federal express? If just to you, how do you want it? we could send it by overnight FedEx so you have it tomorrow morning. We could of course e-mail it or send it for FedEx Monday. Just let me know. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~vw. Labaton.com Please note our new office address. ..... Original Message ..... From: [email protected] [mailto:[email protected]] Sent: Thursday, November 15, 2007 9:07 PM To: Keller, christopher J. subject: Re: I Big thank you. Sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Thu, 15 Nov 2007 20:15:14 To: ok. You will have--report tomorrow. Its impressive. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040119 Case 1:11-cv-10230-MLW Document 454-157 Filed 08/16/18 Page 3 of 4 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... Original Message ..... From: [email protected] spoke to Eric and its probably better that no Labaton person is there, since I will be trashing your competi for heavi I y. Sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, Christopher J." Date: Thu, 15 Nov 2007 13:45:49 To: Damon, following up on our conversation towards the end of the mediation, do you think a lunch next Monday or Tuesday is Doable? ..... Original Message ..... From: [email protected] [mailto:[email protected] Hey Chris. How’s your dad? Also, give me your PIN so that we can communicate w/o going through server. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Tue, 13 Nov 2007 22:13:22 To:"Tountas, Stephen W." Ill be in around 930 and to hotel at 10. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Tountas, Stephen W. To: Schochet, Ira; Keller, christopher J.; ’[email protected]’ FYI -- The mediation is scheduled to start at 9:30 a.m. tomorrow morning in the Flagler ballroom, which is only accessible via the elevator in the main lobby -- take the elevator to floor c2. chris -- we are meeting for breakfast in the hotel at 8 am if you would like to join us. Steve ***Privilege and confidentiality Notice*** CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040120 Case 1:11-cv-10230-MLW Document 454-157 Filed 08/16/18 Page 4 of 4 This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040121 Case 1:11-cv-10230-MLW Document 454-158 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 2/12/2009 10:40:28 PM To: Belfi, Eric J. [[email protected]]; Sucharow, Lawrence [LSucharowOlabaton.com] Subject: Damon yes, pls call christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (2123 907-0853 Fax: (212) 883-7053 e-mail: cke]]er@]abaton.com www. Labaton.com From: Belfi, Eric J. Sent: Thursday, February 12, 2009 5:34 PM To: Keller, christopher J.; sucharow, Lawrence Subject: RE: Damon It is amazing he has made as much as he has but he could made a lot more. From: Keller, christopher J. Sent: Thursday, February 12, 2009 5:12 PM To: Belfi, Eric J.; Sucharow, Lawrence subject: RE: Damon ok, just so you kno~ is standing in the way of our making a deal in--which would have made it incremental that we get the case and I a role in it.I said no" to the deal we are told, despite the support of~now has no shot. A great job he isling for the client. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: cke]]er@]abatonocom ~.Labaton.com From: Belfi, Eric J. Sent: Thursday, February 12, 2009 4:57 PM CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040124 Case 1:11-cv-10230-MLW Document 454-158 Filed 08/16/18 Page 2 of 2 To: Keller, christopher Subject: Damon I spoke to Damon and we are on the same page as far as making adjustments if necessary. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, New York 10005 Phone: +1.212.907.0878 Fax: +1.212.883.7078 [email protected] www.labaton.com ~’~*~’~Pri vi I ege and confi denti al i ty Noti ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040125 Case 1:11-cv-10230-MLW Document 454-159 Filed 08/16/18 Page 1 of 2 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 11/17/2007 4:52:46 PM To: Belfi, Eric J. [[email protected]]; ’Jarvis ~ CC: ’[email protected]’ [[email protected]]; Keller, Christopher J. [[email protected]] Subject: RE: Attachments: Labaton Sucharow Case Analysis.pdf Dear Jarvis: As a follow up to our initial report that we provided to you a couple of weeks ago, please find our updated report that is a of the situation at I plan to be in Houston during the week of November 26, 2007 and I am available for an in-person meeting to further discuss this case. Have a good weekend. Regards, Eric From: Belfi, Eric J. Sent: Friday, November 02, 2007 4:20 PM To-" Jan/is Cc: ’damon( ).com’ Subject: )ort Dear Jarvis: Based on a review of 13-F Filings, it appears that ~ has stfffered a significant loss in We estimate that~ has suffered losses in excess of $38 million. I am providing you with a copy of our initial research report on ~ We are working on a more detailed report which we will be able to provide to you shortly. If you would like tts to determine your losses in this case, please provide us with the following data: CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040132 Case 1:11-cv-10230-MLW Document 454-159 Filed 08/16/18 Page 2 of 2 Regards, Eric J. Belfi Partner Labaton Sucharow LLP 140 Broad~vay New York, New York 10005 Phone: + 1.212.907.0878 Fax: +1.212.883.7078 ._c__t_?__c_’_.l__l_~_q.l I a b ato n. c o m www.labaton.co~n * * *Privilege and Confidentiality Notice** * This electronic message contains infbrmation that is (a) LEGALLY PRWILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only ibr the use of the Addressee(s) named herein, if you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distribuhng this message is prohibited. If yon have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take file steps neeessat3~ to delete the message completely frora your computer systcma. Tha:nk you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040133 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 1 of 46 Analysis of Claims in the Securities Class Action Against Privileged and Confidential November 16, 2007 I. SUMMARY OF THE CASE CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040134 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 2 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040135 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 3 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040136 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 4 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040137 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 5 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040138 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 6 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040139 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 7 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040140 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 8 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040141 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 9 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040142 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 10 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040143 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 11 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040144 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 12 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040145 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 13 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040146 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 14 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040147 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 15 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040148 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 16 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040149 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 17 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040150 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 18 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040151 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 19 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040152 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 20 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040153 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 21 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040154 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 22 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040155 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 23 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040156 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 24 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040157 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 25 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040158 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 26 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040159 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 27 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040160 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 28 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040161 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 29 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040162 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 30 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040163 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 31 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040164 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 32 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040165 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 33 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 34 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 35 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 36 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 37 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 38 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 39 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 40 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 41 of 46 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040174 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 42 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 43 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 44 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 45 of 46 Case 1:11-cv-10230-MLW Document 454-160 Filed 08/16/18 Page 46 of 46 Case 1:11-cv-10230-MLW Document 454-161 Filed 08/16/18 Page 1 of 1 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 2/26/2012 11:13:45 PM To: Keller, Christopher J. [[email protected]] CC: Garcia, Danielle [[email protected]] Subject: We spoke and I agree it is not done until signed. I will keep on top of him on this issue. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 o: 1.212.907.0878 c: 1:516.509.5236 on Feb 26, 2012, at 4:06 PM, "Keller, christopher J." > I spoke with Damon. He said ta~~ ~maor: pretty much a done deal, but nothing is done as you know until sign off. I e our marketing packet so he has materials, Please follow up with Damon. > CK CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040182 Case 1:11-cv-10230-MLW Document 454-162 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 1/26/2007 3:13:34 AM To: Belfi, Eric J. [[email protected]] Subject: Let’s talk tomorrow. Looked at it and like it but for collectability. sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Jan 25 22:11:47 2007 subject: RE: ~ spoke to Patton Boggs today - Man Financial may want to sue Amaranth - they lost $60 million - what are your thoughts? ..... original Message ..... From: Keller, christopher J. sent: Thursday, January 25, 2007 10:06 PM To: Belfi, Eric J. Subject: Re: ~ working on I funds now. Good follow up. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Jan 25 22:02:19 2007 subject: RE:~ TAD knew the guy that Damon told us about. Tom wants to go and meet with them. I working on the follow up meeting. I am going to arrange a dinner with Ken and set sometime to pick Damon’s brain and have Kamran there so we can have an executer. I working on sending an agenda out tonight to the Texans. How are we doing on’Funds, I really need to get that out because I want ~o propose a follow up - I just need to fees, I will deal with the rest. Tomorrow, lets talk Merck early. Tom suggested that we have McDonald and Natalie work on the allegations in the blue Ribbon - he asked me to clear it with you before I asked so it was not contrary to something that you were doing. ..... original Message ..... From: Keller, christopher J. Sent: Thursday, January 25, 2007 9:58 PM To: Belfi, Eric J. subject: Re: ~ what in already exists with~? Good call on getting tad involved. Sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040243 Case 1:11-cv-10230-MLW Document 454-162 Filed 08/16/18 Page 2 of 3 ..... Original Message ..... From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher J. cc: chan, cindy sent: Thu Jan 25 21:52:47 2007 Subject: RE: ~ YOU should be. ..... Original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 9:15 PM To: Belfi, Eric J.; Keller, christopher Cc: Chan, Cindy Subject: Re: ~ ok I get nervous when I’m not around sometimes sent from my BlackBerry Wireless Handheld ..... original Message From: Belfi, Eric J. To: Tetefsky, Jennifer; Keller, christopher Cc: chan, cindy sent: Thu Jan 25 20:48:58 2007 subject: RE: ~ I just spoke with Tom and we are all on the same page. ..... original Message ..... From: Tetefsky, Jennifer Sent: Thursday, January 25, 2007 8:45 PM To: Belfi, Eric J.; Keller, christopher cc: chan, cindy Subject: Re: ~ somehow I feel like I am coming into the middle of. A conversation but you do know about our current relationship w~, right? sent from my BlackBerry Wireless Handheld ..... original Message From: Belfi, Eric J. To: Keller, christopher J. cc: Tetefsky, Jennifer; chan, cindy Sent: Thu Jan 25 19:16:09 2007 Subject: RE: ~ other than the new case meeting I am free - lets do it in the morning. ..... original Message ..... From: Keller, christopher J. sent: Thursday, January 25, 2007 7:15 PM To: Belfi, Eric J. Cc: Tetefsky, Jennifer Cindy subject: FW: We should also have a meeting with Jennifer Re: follow-up on the Texas trip. I’m particularly interested in finding out what happened with ~ (when Bailey recommended them) and in perhaps setting up a meeting with ~ It seems like the most logical place to start, with the highest likelihood of success. ..... original Message ..... From: Ching, Natalie Sent: wednesday, January 24, 2007 4:47 PM CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040244 Case 1:11-cv-10230-MLW Document 454-162 Filed 08/16/18 Page 3 of 3 To: Ching, Natalie; Keller, christopher" J. Cc: chan, cir iV; Belfi, EricEri J. subject: RE: P.s. this is a kansas city based fund. Is this the one you want? ..... original Message ..... From: Ching, Natalie sent: wednesday, January 24, 2007 4:45 PM To: Keller, christopher J. cc: chan, cindy; Belfi, Eric J. subject: RE: ~ $6.6 billion ..... Original Message ..... From: Keller, christopher J. sent: wednesday, January 24, 2007 4:41 PM To: Ching, Natalie Cc: Chan, Cindy; Belfi, Eric J. Subject: Re: ~ How big is the ~ national fund? sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Ching, Natalie To: Keller, christopher J. cc: chan, cindy sent: wed Jan 24 16:25:59 2007 Subject: RE: ~ Major net sellers according to the 13F. Fifo loss (all sales offset by open) is $55 million ..... Original Message ..... From: Keller, christopher J. Sent: wednesday, January 24, 2007 3:53 PM To: ching, Natalie Cc: chan, cindy subject: ~ what’s their loss in Merck? Sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040245 Case 1:11-cv-10230-MLW Document 454-163 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/2/2007 5:24:12 AM To: Belfi, Eric J. [[email protected]] Subject: Re: Good news. Next week = wed and friday open, but if we had to do it thurs or tues, I could swing it. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Thu Mar 01 22:54:49 2007 subject: Fw: Damon left me a voicemail that we are all set and Lawrence will set the meetings up. Also Damon assured me that Ken will not work with anyone else. I will follow up. what is your schedule like? Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] ~w.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Laurence Tien Eric, Ken just got back from his vacation and I will speak to him about the action ~lan that was forwarded to Damon. Also, is your firm doing any shareholder cases Involvi I may be able to get you a few hundred names of companies Bailey Perrin Bailey LLP The Lyri c Centre 440 Louisiana, Suite 2100 Houston, TX 77002 Telephone (713) 425-7100 Direct (713) 425-7264 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040246 Case 1:11-cv-10230-MLW Document 454-163 Filed 08/16/18 Page 2 of 2 Toll-Free (866) 716-8300 Fax: (713) 425-7101 E-mail: Itien@bpblawocom CONFIDENTIALITY NOTICE This e-mail and any attachments are confidential and may be protected by legal privilege. If you are not the intended recipient, be aware that any disclosure, copying, distribution or use of this e-mail or any attachment is prohibited. In such case, you should destroy this message and kindly notify the sender by e-mail. Please advise immediately if you or your employer do not consent to internet e-mail for messages of this kind. opinions, conclusions and other information in this message that do not relate to the official business of my firm shall be understood as neither given nor endorsed by it. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040247 Case 1:11-cv-10230-MLW Document 454-164 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/4/2007 4:57:56 AM To: ’[email protected]’ [[email protected]] CC: ’[email protected]’ [[email protected]]; Belfi, Eric J. [[email protected]] Subject: FW: Laurence: I am glad to hear that things are moving forward, we are heavy into options backdating cases and are lead counsel in over 1/3 of all 10b cases involving options backdating. In fact, we are planning on filing a new case against which is based in Houston. If you would like to act as local counsel, please let me know. l~Chris ..... original Message ..... From: Laurence Tien Eric, Ken ju~ ot back from his vacation and I will ~eak to him about the action ~lan that was forwarded to Damon. Laurence Tien Bailey Perrin Bailey LLP The Lyric Centre 440 Louisiana, Suite 2100 Houston, TX 77002 Telephone (713) 425-7100 Direct (713) 425-7264 Toll-Free (866) 716-8300 Fax: (713) 425-7101 E-mail: [email protected] CONFIDENTIALITY NOTICE This e-mail and any attachments are confidential and may be protected by legal privilege. If you are not the intended recipient, be aware that any disclosure, copying, distribution or use of this e-mail or any attachment is prohibited. In such case, you should destroy this message and kindly notify the sender by e-mail. Please advise immediately if you or your employer do not consent to internet e-mail for messages of this kind. opinions, conclusions and other information in this message that do not relate to the official business of my firm shall be understood as neither given nor endorsed by it. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040249 Case 1:11-cv-10230-MLW Document 454-165 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/6/2007 10:29:24 PM To: Belfi, Eric J. [[email protected]]; Szydlowski, Alan [[email protected]] Subject: RE: I like the Dngle Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www.Labaton.com From: Belfi, Eric J. Sent: Tuesday, March 06, 2007 4:32 PM To-’ Keller, Christopher J.; Szydlowski, Alan Subject: FW: What do you think? From= Laurence Tien [mailto:[email protected]] Sent: Tuesday, March 06, 2007 4:34 PM To; Kamran Mashayekh; Belfi, Eric 3. Co: Tim Herron; Damon Chargois Subject: RE: From: Kamran Mashayekh [mailto:[email protected]] Sent: Tuesday, March 06, 2007 1:47 PM To: Belfi, Eric J. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040259 Case 1:11-cv-10230-MLW Document 454-165 Filed 08/16/18 Page 2 of 4 Cc: Tim Herron; Damon Chargois; Laurence Tien Subject: RE: Eric: I am happy to discuss at your convenience. Thank you K From: Belfi, Eric J. [mailto:[email protected]] Sent: Tuesday, March 06, 2007 1:33 PM To: Kamran Nashayekh; Keller, Christopher Cc: Damon Chargois; Tim Herron; [email protected] Subject: RE: Kamran: We have been focused on the securities cases, one them that we are currently pursuing is against~ We believe over the next couple of weeks there will probably be more cases evolving from this area. \’¢laat type of cases did you have in mind? CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040260 Case 1:11-cv-10230-MLW Document 454-165 Filed 08/16/18 Page 3 of 4 From: Kamran Mashayekh [mailto:[email protected]] Sent: Sunday, March 04, 2007 9:13 AM To: Keller, Christopher 3. Cc: Damon Chargois; Tim Herron; Belfi, Eric J.; [email protected] Subject: RE: Ch ristopher: Thanks for keeping us in the loop. Does your firm have am’ cases ~n the If so, we would like to discuss with you and on a very ec~s~on m a case o his genre. Thank you K From: Keller, Christopher J. [mailto:[email protected]] Sent: Sat 3/3/2007 :[0:57 PM To.’ [email protected] Cc: Kamran Nashayekh; BeN, Eric Subject: FW: Laurence: I am glad to hear that things are moving lbrward. We arc heavy into options backdating cases and are lead counsel in over 1/3 of all 10b cases involving options backdating. In fact, we arc planning on filing a new case ~If you would like to act as local counsel, please let me know. Chris ..... Original Message ..... From: Laurence Tien Eric, CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040261 Case 1:11-cv-10230-MLW Document 454-165 Filed 08/16/18 Page 4 of 4 Kenjnst got back from his vacation and I will speak to him about the action plan that was forwarded to Damon. Also, is your firm doing any shareholder cases involving backdated employee stock options? I may be able to get you a few hundred names of companies involved in backdating options. Laurence Tien Bailey Perrin Bailey LLP The Lyric Centre 440 Louisiana, Suite 2100 Houston, TX 77002 * Telephone (713) 425-7100 * Direct (713) 425-7264 * Toll-Free (866) 716-8300 * Fax: (713) 425-7101 * E-mail: [email protected] CONFIDENTIALITY NOTICE This e-mail and a~ attachments are confidential and may be protected by legal privilege. If you are not the intended recipient, be aware that aw disclosure, copying, distribution or use of this e-mail or any attachment is prohibited. In such case, you should destroy this lnessage and kindly notify the sender by e-mail. Please advise immediately if you or your employer do not consent to internet e-mail for messages of this kind. Opinions, conclusions and other information in this message that do not relate to the official business of n\,~" firm shall be understood as neither given nor endorsed by it. ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040262 Case 1:11-cv-10230-MLW Document 454-166 Filed 08/16/18 Page 1 of 5 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/6/2007 11:46:00 PM To: Belfi, Eric J. [[email protected]]; Szydlowski, Alan [[email protected]] Subject: RE: I don’t know; is that information publicly available? Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com From: Belfi, Eric J. Sent: Tuesday, March 06, 2007 6:40 PM To: Keller, Christopher J.; Szydlowski, Alan Subject: RE: How do ~ve find a client? From: Keller, Christopher J. Sent: Tuesday, March 06, 2007 5:29 PM To; Belfi, Eric J.; Szydlowski, Alan Subject: RE: I like the ~ angle Christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www.Labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040263 Case 1:11-cv-10230-MLW Document 454-166 Filed 08/16/18 Page 2 of 5 From: Belfi, Eric J. Sent: Tuesday, March 06, 2007 4:32 PM To: Keller, Christopher J.; Szydlowski, Alan Subject: FW: What do you think? From: Laurence Tien [mailto:[email protected]] Sent: Tuesday, March 06, 2007 4:34 PM To: Kamran Mashayekh; Belfi, Eric J. Co: Tim Herron; Damon Chargois Subject: RE: From: Kamran Mashayekh [mailto:[email protected]] Sent: Tuesday, March 06, 2007 1:47 PM To: Belfi, Eric J. Co: Tim Herron; Damon Chargois; Laurence Tien Subject: RE: Eric: I am happy to discuss at your convenience. Thank you K CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040264 Case 1:11-cv-10230-MLW Document 454-166 Filed 08/16/18 Page 3 of 5 From: Belfi, Eric J. [mailto:[email protected]] Sent; Tuesday, March 06, 2007 1:33 PM To; Kamran Mashayekh; Keller, Christopher J. Cc: Damon Chargois; Tim Herron; [email protected] Subject: RE: We have been focused on the securities cases, one them that we are currently pursuing is against~. \Ve believe over the next couple of weeks there will probably be more cases evolving from this area. \Vhat type of cases did you have in mind? Eric From: Kamran Mashayekh [mailto:[email protected]] Sent." Sunday, March 04, 2007 9:13 AM To: Keller, Christopher J. Cc: Damon Chargois; Tim Herron; BeN, Eric J.; [email protected] Subject: RE: Ch ristopher: Thanks for keeping us in the loop. If so, we would like to discuss with you and Eric a potentially lucrative case based on a very recent decision in a case of this genre. Thank you K CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040265 Case 1:11-cv-10230-MLW Document 454-166 Filed 08/16/18 Page 4 of 5 From: Keller, Christopher J. [mailto:[email protected]] Sent: Sat 3/3/2007 10:57 PM To: [email protected] (~c: Kamran Mashayekh; Belfi, Eric 3. Subject: FW: Laurence: I am glad to hear that things are moving forward. We are heavy into options backdating cases and are lead counsel in over 1/3 of all 10b cases involving options backdating. In fact, we are planning on :ase against] to act as local counsel, please let me know. Chris ..... Original Message ..... From: Laurence Tien Eric, Ken just got back from his vacation and I will speak to him about the action plan that was forwarded to Damon. Also, is yottr finn doing any shareholder cases involving backdated employee stock options? I may be able to get you a few hundred names of companies involved in backdating options. Laurence Tien Bailey Perrin Bailey LLP The Lyric Centre 440 Louisiana, Suite 2100 Houston, TX 77002 * Telephone (713) 425-7100 * Direct (713) 425-7264 * Toll-Free (866) 716-8300 * Fax: (713) 425-7101 * E-mail: ltien(?~bpblaw.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040266 Case 1:11-cv-10230-MLW Document 454-166 Filed 08/16/18 Page 5 of 5 CONFIDENTIALITY NOTICE This e-mail and an,v attachlnents are confideutial and may be protected by legal privilege. If you are not the intended recipient, be aware that any disclosure, copying, distribution or use of this e-mail or attachineut is prohibited. In such case, you shotdd destroy this message and kindly notify the sender by e-mail. Please advise irmnediately if you or yottr employer do not consent to internet e-mail for messages of this kind. Opinions, conchisions and other information in this message that do not relate to the official business of my firm shall be understood as neither gfiven nor endorsed by it. ***Privilege and Confidentiality Notice*** This electro,tic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) iutended ouly for the use of the Addressee(s) named herein. If you are nol the Addressee(s), or |he person responsible for delivering/his lo the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040267 Case 1:11-cv-10230-MLW Document 454-167 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/8/2007 10:01:48 PM To: Rado, Andrei [[email protected]]; Case Development [[email protected]] CC: Cordoba-Riera, Diana M. [[email protected]] Subject: Re: HCC Great. Remember, this is a no web event. Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Rado, Andrei To: Case Development Cc: cordoba-Riera, Diana M. Sent: Thu Mar 08 16:46:56 2007 Subject: FW: HCC We are on file. ..... Original Message ..... From: Sandy Jorgensen [mailto:[email protected]] sent: Thursday, March 08, 2007 4:46 PM To: Rado, Andrei Subject: RE: HCC I have attached a file-marked copy sandy Jorgensen Chargois & Herron 2201 Timberloch Place, suite 110 The woodlands, Texas 77380 281 444-0604 281 440-0124 (Facsimile) [email protected] > you may want to look at this. My friend could be a class rep for > their classifieds. > > Laurence Tien > > Bailey Perrin Bailey LLP > The Lyric Centre > 440 Louisiana, Suite 2100 > Houston, TX 77002 > > > Telephone (713) 425-7100 > Direct (713) 425-7264 > Toll-Free (866) 716-8300 > Fax: (713) 425-7101 > E-mail: Itien@bpblaw. com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040271 Case 1:11-cv-10230-MLW Document 454-167 Filed 08/16/18 Page 2 of 2 CONFIDENTIALITY NOTICE This e-mail and any attachments are confidential and may be protected by legal privilege. If you are not the intended recipient, be aware that any disclosure, copying, distribution or use of this e-mail or any attachment is prohibited. In such case, you should destroy this message and kindly notify the sender by e-mail. Please advise immediately if you or your employer do not consent to internet e-mail for messages of this kind. opinions, conclusions and other information in this message that do not relate to the official business of my firm shall be understood as neither given nor endorsed by it. **’~Pri¯ vi I ege and confi denti al i ty Noti ce*~’~* This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040272 Case 1:11-cv-10230-MLW Document 454-168 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 3/30/2007 10:09:02 PM To: Belfi, Eric J. [[email protected]] Subject: RE: follow up on possibility of meeting with Ken Bailey after April 9th where are you? christopher 3. Keller, Esq. Partner Labaton sucharow & Rudolf LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-085B Fax: (212) 88B-705B e-mail: [email protected] ~.Labaton.com ..... Original Message ..... From: Belfi, Eric J. Sent: Friday, March 30, 2007 6:01 PM To: Keller, christopher J. Subject: Re: follow up on possibility of meeting with Ken Bailey after April 9th That is what I thought you would say - I will keep you in the loop. I like Kamran - he really follows up with things. We will see what he can produce. Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] www.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric 3. Sent: Fri Mar 30 17:56:45 2007 Subject: RE: follow up on possibility of meeting with Ken Bailey after April 9th If I had to - for a meeting with ~, yes. christopher J. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040295 Case 1:11-cv-10230-MLW Document 454-168 Filed 08/16/18 Page 2 of 4 ..... Original Message ..... From: Belfi, Eric J. Sent: Friday, March 30, 2007 5:44 PM To: Keller, Christopher J. subject: Re: follow up on possibility of meeting with Ken Bailey after April 9th what is the baby situation - would you go over night? Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] ~.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Mar 30 17:41:37 2007 Subject: RE: follow up on possibility of meeting with Ken Bailey after April 9th About what, clients? sure christopher J. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com ..... Original Message ..... From: Belfi, Eric J. Sent: Friday, March 30, 2007 5:41 PM To: Keller, christopher J. subject: Re: follow up on possibility of meeting with Ken Bailey after April 9th Yes - they said that might want more clients - what do you think? Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] ~¢~w.labaton.com Sent from my BlackBerry Wireless Handheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040296 Case 1:11-cv-10230-MLW Document 454-168 Filed 08/16/18 Page 3 of 4 ..... Original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Mar 30 17:39:15 2007 Subject: RE: follow up on possibility of meeting with Ken Bailey after April 9th Thanks. Did you hear that Kelly secured a client in the ~case? christopher 3. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com ..... Original Message From: Belfi, Eric J. Sent: Friday, March 30, 2007 5:37 PM To: Keller, christopher subject: Fw: follow up on possibility of meeting with Ken Bailey after April 9th Here is the update - I will keep you apprised. Eric 3. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] ~.labaton.com sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Kamran Mashayekh Eric: Hope you are enjoying Europe. I spoke to Laurence Tien today and he stated that Ken Bailey will be back in the office on Monday and he will try to secure a meeting date for us after April 9th. I will follow up on your request with him on Monday or Tuesday of next week. Tim Herron also will be contacting an attorney he knows in well connected with the unions in that state. I will report back on that as well. As to the the ball remains in )ean contact’s court and hope to have something there soon. As to the Tim Herron is meeting with one of his contacts regarding that matter am report g proves fruitful. Needless to say, I will be in touch. Thanks CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040297 Case 1:11-cv-10230-MLW Document 454-168 Filed 08/16/18 Page 4 of 4 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040298 Case 1:11-cv-10230-MLW Document 454-169 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 6/6/2007 8:40:57 PM To: Chan, Cindy [[email protected]] Subject: FW: Unions christopher J. Keller, Esq. Partner Labaton sucharow & Rudolf LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-~ail: [email protected] ~. Labaton. tom ..... Original Message ..... From: Belfi, Eric J. Sent: wednesday, June 06, 2007 4:10 PM To: ’[email protected]’; Kamran Mashayekh Cc: Tim Herron Subject: RE: Unions conference Call Date: June 7, 2007 Time: 9AM Central/10AM EST Dial in number is 1-888-870-8293 Passcode: 212-907-0878 International Dial in: +1-719-234-7665 Passcode: 212.907.0878 ..... original Message ..... From: [email protected] [mailto:[email protected]] sent: wednesday, June 06, 2007 3:56 PM To: Belfi, Eric J.; Kamran Mashayekh Cc: Tim Herron Subject: Re: Unions ok sent via BlackBerry from Cingular Wireless ..... Original Message ..... From: "Belfi, Eric J." Date: Wed, 6 3un 2007 15:53:59 To: This sounds like a very good development. Can we tall< at 10AM EST tomorrow - (9AM Central)? ..... Original Message ..... From: [email protected] [mailto:[email protected]] sent: wednesday, June 06, 2007 3:42 PM To: Belfi, Eric J.; Kamran Mashayekh CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040308 Case 1:11-cv-10230-MLW Document 454-169 Filed 08/16/18 Page 2 of 3 Cc: Tim Herron Subject: Re: Unions His son’s name is Camp and I know him. He’s a young lawyer who is very personable. He was an associate at Wiiliams Bailey and now works for his dad. Can I call you in about an hour? Sent via BlackBerry from Cingular Wireless ..... Original Message From: "Belfi, Eric J." Date: Wed, 6 Jun 2007 14:51:16 To: It sounds very encouraging. Do you know Ken’s son? Also, if you have time to talk today, it may be worth having a 5 minute call to update you on the securities market. Eric ..... Original Message ..... From: [email protected] [mailto:[email protected]] Sent: wednesday, June 06, 2007 2:44 PM To: Kamran Mashayekh; Belfi, Eric J. Cc: Tim Herron subject: Re: Unions Great. Sent via BlackBerry from Cingular Wireless ..... Original Message ..... From: "Kamran Mashayekh" Date: Wed, 6 Jun 2007 12:25:30 To:"Belfi, Eric J." Got a response back from bailey’s office that bailey’s son also wants to get involved in whatever it is that will be up for discussion. The ball is still in their court to get back to us with a date. we will just keep pushing. From: Belfi, Eric J. [mailto:[email protected]] Sent: wednesday, June 06, 2007 12:25 AM To: [email protected] cc: Kamran Mashayekh subject: unions Dear Ken: It has been a couple of months siMce we met ~th ou in our office and I wanted to follow up with you to see how you were doing with the ~ I have travel commitments over the next two weeks. However, from June 25 forward, I will be available to go and meet with the ~ or any funds that you think make sense for us to meet. If there is any that you need from us, do not hesitate to contact me. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040309 Case 1:11-cv-10230-MLW Document 454-169 Filed 08/16/18 Page 3 of 3 Best regards, Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 ebel fi @l abaton, corn www. I abaton, corn ~*~Privilege and confidentiality Notice~*~ This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040310 Case 1:11-cv-10230-MLW Document 454-170 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 6/11/2007 9:40:22 PM To: Belfi, Eric J. [[email protected]]; Tetefsky, Jennifer [[email protected]] Subject: Re: Ken Bailey We agree. Seriously, how much did you pay him for that?? sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric 3. To: Keller, christopher 3.; Tetefsky, 3enni fer Sent: Mon 3un 11 17:28:57 2007 subject: FW: Ken Bailey The latest from Texas. From: Kamran Mashayekh [mailto:[email protected]] sent: Monday, June 11, 2007 4:48 PM To: Belfi, Eric 3. Cc: Damon chargois subject: RE: Ken Bailey I have it on my calendar to follow up on this matter this week. You are good Eric. You really are. Labaton is lucky to have you on their team. will fire off an email to laurence to see if we can get some movement. From: Belfi, Eric 3. [mailto:[email protected]] Sent: Mort 6/11/2007 3:15 PM To: Kamran Mashayekh subject: Ken Bailey checking in to see if you were able to set a meeting with the son? ~’~Pri vi I ege and confi denti al i ty Noti ce"~’~ This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040316 Case 1:11-cv-10230-MLW Document 454-171 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/4/2007 6:54:42 PM To: Belfi, Eric J. [[email protected]]; Tetefsky, Jennifer [[email protected]]; Ching, Natalie [[email protected]] Subject: RE: Bailey Very coo]. I mentioned to Garrett having a business deve]opment summit either here in New York or on location for two days. He was very enthusiastic about it. Let’s talk about an invitee list, which would include Garrett, Damon, Lou Angelos, chris D’Amato, Hunter Biden, perhaps Brent Hatch and even camp, if you think it’s worthwhile. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com Please note that our office address and firm name have changed. ..... original Message ..... From: Belfi, Eric J. Sent: Thursday, october 04, 2007 2:30 PM To: Tetefsky, Jennifer; Keller, christopher J. Subject: Bailey Met with the son camp - we should get a meeting with ~- onto the next meeting. Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040331 Case 1:11-cv-10230-MLW Document 454-172 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/11/2007 4:14:43 PM To: Bernstein, Joel [[email protected]] CC: Belfi, Eric J. [[email protected]] Subject: Re: Re: HCC He is local in HCC. I thought its your case (mid tier and options related). christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry Wireless Handheld ..... original Message From: Bernstein, Joel To: Keller, christopher J. cc: Belfi, Eric J. Sent: Thu Oct 11 11:56:25 2007 Subject: Re: Re: HCC who is he I am not on this case Joel H. Bernstein Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Tel: (212) 907-0869 Fax: (212) 883-7069 [email protected] ..... original Message ..... From: Keller, christopher J. To: Bernstein, Joel Cc: Belfi, Eric J. Sent: Thu Oct 11 11:55:21 2007 Subject: Fw: Re: HCC Pls keep damon in loop. He’s important to our efforts in a number of states. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Damon Chargois CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040332 Case 1:11-cv-10230-MLW Document 454-172 Filed 08/16/18 Page 2 of 3 chris, wou]d you please ]et E]aine know if you’d ]ike for her to arrange something down here? A]so, T would like to attend and see how you fancy nyc lawyers do your thing. BTW, we just got a $131 million dollar verdict in one of our pharma cases, unfortunately, I don’t expect it to hold up on appeal. From: Keller, christopher J. [mai I to : ckel I e r@l abaton, corn] Sent: Thu 10/11/2007 9:56 AM To: Damon Chargois cc: Belfi, Eric J. Subject: Re: Re: HCC Defendants have approached us about going to mediation. It looks like this could go early. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Keller, christopher J. To: ’[email protected]’ Damon, for the record, I was ready to roll tonight. Next time. Safe journey home. christopher J. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com ..... Original Message From: [email protected] [mailto:[email protected]] sent: wednesday, May 09, 2007 5:23 PM To: Keller, christopher Cc: Tountas, Stephen W.; schochet, Ira; Rado, Andrei; Belfi, Eric J. subject: Re: Re: HCC Great to catch up with you as well, chris. Just to be clear, Rosenthal isn’t what I would call pretty good. Just not a bad draw. I expect to have a summary for you soon on particulars. The main thing for sent via BlackBerry from ¢ingular Wireless ..... Original Message ..... From: "Keller, christopher J." CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040333 Case 1:11-cv-10230-MLW Document 454-172 Filed 08/16/18 Page 3 of 3 subject: F~: Re: HCC Damon: it was great catching up. I’m going to do my best to make it tomorrow night. I’m copying of this e-mail my partner Ira schochet and steve Tountas who’ll be doing a lot of the litigation work in this case. As we discussed, since Judge Jon Rosenthal is a pretty good draw, we just need to decide what the practical implication of the attacks motion is. If it’s simple coordination, then we may be able to consent to it. If they become one case, then no way. christopher J. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com From: Ellman, Alan I. Sent: wednesday, May 09, 2007 12:01 PM To: Keller, christopher J.; Rado, Andrei Cc: Weisman, Roy; Chart, cindy Subject: Re: HCC Defendants filed a motion yesterday to consolidate the two HCC derivative suits with the class action. see attached brief in support. Alan I. Ellman Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Direct Dial: 212-907-0877 Direct Fax: 212-883-7077 [email protected] ~vw.labaton.com ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040334 Case 1:11-cv-10230-MLW Document 454-173 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/12/2007 1:01:47 AM To: ’[email protected]’ [[email protected]] CC: Belfi, Eric J. [[email protected]]; ’[email protected]’ [[email protected]] Subject: Re: Re: HCC We will consult with you on all of it. I hear you sharp texans aint so bad too. Wow, that’s a big number. Ah, the good ole days where that would have meant a 45 mil payday. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry wireless Handheld ..... original Message ..... From: Damon Chargois chris, would you please let Elaine know if you’d like for her to arrange something down here? Also, I would like to attend and see how you fancy nyc lawyers do your thing. BTW, we just got a $131 million dollar verdict in one of our pharma cases, unfortunately, I don’t expect it to hold up on appeal. From: Keller, christopher J. [mailto:[email protected]] sent: Thu 10/11/2007 9:56 AM To: Damon chargois cc: Belfi, Eric J. subject: Re: Re: HCC Defendants have approached us about going to mediation. It looks like this could go early. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Keller, christopher J. To: ’[email protected]’ Damon, for the record, I was ready to roll tonight. Next time. Safe journey home. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040335 Case 1:11-cv-10230-MLW Document 454-173 Filed 08/16/18 Page 2 of 3 christopher J. Keller, Esq. Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com ..... Original Message ..... From: [email protected] [mailto:[email protected]] sent: wednesday, May 09, 2007 5:23 PM To: Keller, christopher J. cc: Tountas, stephen w.; schochet, Ira; Rado, Andrei; Belfi, Eric J. Subject: Re: Re: HCC Great to catch up with you as well, chris. Just to be clear, Rosenthal isn’t what I would call pretty good. Just not a bad draw. I expect to have a summary for you soon on particulars. The main thing for us to research is whether Rosenthal has rendered prior rulings on issues similar to the ones in our case. I will be in touch. Take care. Sent via BlackBerry from Cingular Wireless ..... Original Message From: "Keller, christopher J." Damon: it was great catching up. I’m going to do my best to make it tomorrow night. I’m copying of this e-mail my partner Ira schochet and steve Tountas who’ll be doing a lot of the litigation work in this case. As we discussed, since Judge Jon Rosenthal is a pretty good draw, we just need to decide what the practical implication of the attacks motion is. If it’s simple coordination, then we may be able to consent to it. If they become one case, then no way. christopher J. Keller, Esq. Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, N.Y. 10017 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com From: Ellman, Alan I. Sent: wednesday, May 09, 2007 12:01 PM To: Keller, christopher J.; Rado, Andrei Cc: Weisman, Roy; Chan, cindy subject: Re: HCC Defendants filed a motion yesterday to consolidate the two HCC derivative suits with the class action. see attached brief in support. Alan I. Ellman Labaton sucharow & Rudoff LLP 100 Park Avenue CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040336 Case 1:11-cv-10230-MLW Document 454-173 Filed 08/16/18 Page 3 of 3 New York, New York 10017 Direct Dial: 212-907-0877 Direct Fax: 212-883-7077 [email protected] www.labaton.com ***Pri vi I ege and confi denti al i ty Noti ce*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040337 Case 1:11-cv-10230-MLW Document 454-174 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/17/2007 4:02:59 PM To: Belfi, Eric J. [[email protected]] CC: Tetefsky, Jennifer [[email protected]] Subject: Agree on the conference - doane should be invited to speak. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message From: Belfi, Eric J. To: Keller, christopher J. cc: Tetefsky, Jennifer Sent: wed oct 17 11:43:46 2007 Subject: I met with ~and . we had a very good meeting. All and all a good meeting and we will go back to them in a week or so to touch base. In the meantime I am going to talk to Damon’s contact about what is going on behind the scenes. Also, they went to the Bernstein conference last week and they were impressed so we need to do one soon. Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040343 Case 1:11-cv-10230-MLW Document 454-175 Filed 08/16/18 Page 1 of 3 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/20/2007 2:04:48 PM To: Tetefsky, Jennifer [[email protected]] Subject: Re: Update Want to change bio to include mercury christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 ...... Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Tetefsky, Jennifer To: Belfi, Eric J.; Sucharow, Lawrence Cc: Keller, christopher J. sent: sat oct 20 09:51:18 2007 Subject: Re: Update Monday ..... Original Message ..... From: Belfi, Eric J. To: Sucharow, Lawrence Cc: Keller, christopher J.; Tetefsky, Jennifer Sent: Sat Oct 20 07:49:27 2007 Subject: Re: Update when does jury selection begin? Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com ..... original Message ..... From: Sucharow, Lawrence To: Belfi, Eric J. Cc: Keller, christopher J.; Tetefsky, Jenni fer Sent: Sat Oct 20 07:35:13 2007 Subject: RE: Update Eric, GREAT job. Don’t know how you keep the~straight from the~ Need to discuss th ntive Amer project request. Way too rich a request, but can’t judge without seeing a list of what you think he can realistically accomplish (deliver) and what size of those funds really are (and in us equities). Keep up great work. I am uexpectedly going out to oserve JDS trial for this coming week; we willneed to arrange to speak by phone to move things along. ..... original Message ..... From: Belfi, Eric J. Sent: Friday, october 19, 2007 7:27 PM To: Sucharow, Lawrence Cc: Keller, Christopher J.; Tetefsky, Jennifer subject: update CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040348 Case 1:11-cv-10230-MLW Document 454-175 Filed 08/16/18 Page 2 of 3 Larry: A quick summary of the trip. In oklahoma, we had good meetings with the Damon thinks we will get in both. I~ currently has Litowitz but certainly understands the values of multiple firms (ie conflicts). currently does not have any attorneys and is interested in setting a monitoring system - to us soon, In Texas, we met with Steve Kherkher of william & Kherkher - formally of williams & Bailey and they are going to introduce us to their union clients. They made big money in tobacco and asbestos with the unions. For lunch, one of Damon’s c ~uddies - scott Lemond - set up an appointment the head of the the guy is very bright and the meeting went awesome - I think we will b~ Damon’s plans are to expand the ratqon work on the ood friends with the mayor) and start working in Tim is making sure that we complete Arkansas and he is opening the Tennessee front - I hope to go there on the next road trip. we will be getting some traffic through office during the week of November 5 - Senator Farris, Tim Herron, Damon, and Steve KherKher and possibly camp Bailey of Bailey (they are the link to the Boilermakers and many other union funds). we are also working Damon’s l friend Gary Pitchlynn Lots of follow up necessary. Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040349 Case 1:11-cv-10230-MLW Document 454-175 Filed 08/16/18 Page 3 of 3 Telephone: +1.212.907.0878 Facsimile: +1,212.883.7078 [email protected] ~w.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040350 Case 1:11-cv-10230-MLW Document 454-176 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/12/2007 12:54:03 PM To: Rado, Andrei [[email protected]] Subject: Fw: Report from the otherside of the pond christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Mon Nov 12 01:33:04 2007 subject: Report from the otherside of the pond ch r i s : I am traded emails with Damon all weekend and here is where we are. 1. Damon spoke to Jarvis at the function and has set up a lunch this week to tall< about it more fully. 2. Damon said that Jarvis is not in the university of Houston as much as he is but he will see if he cares about experts coming from there. 3. Damon has brought in scott Lemond’s father to help who has a relationship with the AG to see if that can help us. He has the full court press on. we need to deliver a kick ass report. Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040368 Case 1:11-cv-10230-MLW Document 454-177 Filed 08/16/18 Page 1 of 1 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/12/2007 7:38:01 PM To: Belfi, Eric J. [[email protected]] Subject: RE: Report from the otherside of the pond The report will be kick ass. It’s going to have an insider-trading analysis, an accounting analysis, and damage analysis, along with something from investigation that just began. It’s going to look good and impress. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com Please note our new office address. ..... original Message ..... From: Belfi, Eric J. Sent: Monday, November 12, 2007 1:33 AM To: Keller, Christopher 3. subject: Report from the otherside of the pond ch r i s : I am traded emails with Damon all weekend and here is where we are. 1. Damon spoke to Jarvis at the function and has set up a lunch this week to talk about it more fully. 2. Damon said that Jarvis is not in the university of Houston as much as he is but he will see if he cares about experts coming from there. 3. Damon has brought in scott Lemond’s father to help who has a relationship with the AG to see if that can help us. He has the full court press on. we need to deliver a kick ass report. Eric Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040369 Case 1:11-cv-10230-MLW Document 454-178 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 2:29:23 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Damon .has shit. Everyone is big in ~. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 ...... Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Fri Nov 16 09:28:24 2007 subject: Re: Damon I did not think they were big inI where do we stand on ~- do we have a realistic shot? Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~¢~w.labaton.com ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Nov 16 09:26:59 2007 Subject: Re: Damon 2 impt points that damon needs to know. First, he should take their temp on Iif they are not interested then push for ~ second, if jarvis wants us to sha~e case with blbg, that would be fine christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Fri Nov 16 07:29:33 2007 subject: Damon spoke to him last night and he is having lunch with Jarvis Monday and then we will discuss what is the next step - he does not think we should do anything until after the lunch. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040380 Case 1:11-cv-10230-MLW Document 454-178 Filed 08/16/18 Page 2 of 2 Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040381 Case 1:11-cv-10230-MLW Document 454-179 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 2:32:58 PM To: Belfi, Eric J. [[email protected]] Subject: Re: Damon short period. Its now a 2yr class, in the long period. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher 3. Sent: Fri Nov 16 09:29:52 2007 Subject: Re: Damon I thought~? Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~vw.labaton.com ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Nov 16 09:29:23 2007 Subject: Re: Damon l has shit. Everyone is big in ~. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. sent: Fri Nov 16 09:28:24 2007 Subject: Re: Damon I did not think they were big in ~? Where do we stand on ~- do we have a realistic shot? CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040382 Case 1:11-cv-10230-MLW Document 454-179 Filed 08/16/18 Page 2 of 2 Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Nov 16 09:26:59 2007 subject: Re: Damon 2 impt points that damon needs to know. First, he should take their temp onI If they are not interested then push for ~. second, if jarvis wants us to share the case withI, that would be fine christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Belfi, Eric J. To: Keller, christopher J. Sent: Fri Nov 16 07:29:33 2007 Subject: Damon spoke to him last night and he is having lunch with Jarvis Monday and then we will discuss what is the next step - he does not think we should do anything until after the lunch. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~.labaton.com CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040383 Case 1:11-cv-10230-MLW Document 454-180 Filed 08/16/18 Page 1 of 4 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 11:00:40 PM To: Belfi, Eric J. [[email protected]]; ’[email protected]’ [[email protected]] CC: Chan, Cindy [[email protected]] Subject: ok, we will email it to you for sending to 1. The cover e-mail I was going to send was going to generally express our their belief that the case is extraordinarily strong, highlighting the off-ba]ance- sheet comparison to Enron, and note that our report was substantively supported by the expert reports concerning damages, accounting, and an insider trading analysis all prepared by prominent experts in their field, as well as a substantive investigation headed up by A] Gumney, a CPA and 20 year veteran of the FBI. All this is in the report (including the expert reports), but it doesn’t hurt to start out with what really sets our approach and analysis apart from the rest that he has or will see. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com Please note our new office address. ..... original Message ..... From: Belfi, Eric 3. Sent: Friday, November 16, 2007 5:55 PM To: Keller, christopher 3.; ’[email protected]’ Subject: Re: ~ I am back and can send it if you have not sent it yet. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... original Message ..... From: Keller, christopher J. To : ’ damon@cmhl I p. com’ ok. Do you have him email. And should I address him as ~even though we have not met? christopher 3. Keller, Esq. Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040402 Case 1:11-cv-10230-MLW Document 454-180 Filed 08/16/18 Page 2 of 4 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com Please note our new office address. ..... Original Message From: [email protected] [mailto:[email protected]] sent: Friday, November 16, 2007 5:08 PM To: Keller, christopher J. subject: Re: 1 Probably emailing it to me and ~is good. sent via BlackBerry by AT&T ..... Original Message From: "Keller, christopher J." Date: Fri, 16 Nov 2007 16:51:17 To: Damon: the report is done. should we send it directly to~? By e-mail or federal express? If just to you, how do you want it? we could send it by overnight FedEx so you have it tomorrow morning. we could of course e-mail it or send it for FedEx Monday. Just let me know. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~vw. Labaton.com Please note our new office address. ..... Original Message ..... From: [email protected] [mailto:[email protected]] Sent: Thursday, November 15, 2007 9:07 PM To: Keller, christopher J. subject: Re: I Big thank you. Sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Thu, 15 Nov 2007 20:15:14 To: ok. You will have report tomorrow. Its impressive. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040403 Case 1:11-cv-10230-MLW Document 454-180 Filed 08/16/18 Page 3 of 4 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... Original Message ..... From: [email protected] spoke to Eric and its probably better that no Labaton person is there, since I will be trashing your competi for heavi I y. Sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, Christopher J." Date: Thu, 15 Nov 2007 13:45:49 To: Damon, following up on our conversation towards the end of the mediation, do you think a lunch next Monday or Tuesday is Doable? ..... Original Message ..... From: [email protected] [mailto:[email protected] Hey Chris. How’s your dad? Also, give me your PIN so that we can communicate w/o going through server. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Tue, 13 Nov 2007 22:13:22 To:"Tountas, Stephen W." Ill be in around 930 and to hotel at 10. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Tountas, Stephen W. To: Schochet, Ira; Keller, christopher J.; ’[email protected]’ FYI -- The mediation is scheduled to start at 9:30 a.m. tomorrow morning in the Flagler ballroom, which is only accessible via the elevator in the main lobby -- take the elevator to floor c2. chris -- we are meeting for breakfast in the hotel at 8 am if you would like to join us. Steve ***Privilege and confidentiality Notice*** CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040404 Case 1:11-cv-10230-MLW Document 454-180 Filed 08/16/18 Page 4 of 4 This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040405 Case 1:11-cv-10230-MLW Document 454-181 Filed 08/16/18 Page 1 of 5 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 11/16/2007 11:19:40 PM To: Belfi, Eric J. [[email protected]] Subject: you know that~is huge in one of these cases christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com Please note our new office address. ..... original Message ..... From: Belfi, Eric J. Bent: Friday, November 16, 2007 6:13 PM To: Keller, Christopher 3. subject: Re: ~ I mean chasing the clients for I out there right now. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Sent: Fri Nov 16 18:11:49 2007 Subject: RE: / christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com Please note our new office address. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040411 Case 1:11-cv-10230-MLW Document 454-181 Filed 08/16/18 Page 2 of 5 ..... Original Message ..... From: Belfi, Eric J. Sent: Friday, November 16, 2007 6:09 PM To: Keller, christopher J. Subject: Re: I I will cc you so he will see your name - I will also cc damon as I did on the first one. we are stuck on the tarmac in JFK. other theI is there any news, On the I prepare a whole bunch of emails to go out to people. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... original Message ..... From: Keller, christopher J. To: Belfi, Eric J. Cc: Chan, Cindy; ’[email protected] ’ Here it is. Godspeed. You may also want to ask for their transactions to analyze, but that may be getting ahead of ourselves. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~w. Labaton.com Please note our new office address. ..... original Message ..... From: Belfi, Eric J. Sent: Friday, November 16, 2007 5:57 PM To: Keller, christopher J. cc: chan, cindy Subject: Re: I Can someone send it to me. Eric J. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] www.labaton.com ..... original Message ..... From: Keller, christopher J. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040412 Case 1:11-cv-10230-MLW Document 454-181 Filed 08/16/18 Page 3 of 5 To: Belfi, Eric J. Cc: Chan, Cindy Sent: Fri Nov 16 17:56:32 2007 subject: Fw: ~ Do you have it? christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message From: [email protected] I think Eric has the email and ~ is fine. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Fri, 16 Nov 2007 17:20:47 To: ok. Do you have him email. And should I address him as Jarvis even though we have not met? christopher J. Keller, Esq. Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com Please note our new office address. ..... original Message ..... From: [email protected] [mailto:[email protected]] sent: Friday, November" 16, 2007 5:08 PM To: Keller, christopher J. subject: Re: ~ Probably emailing it to me and ~is good. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher j.. Date: Fri, 16 Nov 2007 16:51:17 To: CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040413 Case 1:11-cv-10230-MLW Document 454-181 Filed 08/16/18 Page 4 of 5 Damon: the report is done. should we send it directly to I? By e-mail or federal express? If just to you, how do you want it? We could send it by overnight FedEx so you have it tomorrow morning. We could of course e-mail it or send it for FedE× Monday. 3ust let me know. christopher 3. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] ~.Labaton.com Please note our new office address. ..... original Message From: [email protected] [mailto:[email protected]] Sent: Thursday, November 15, 2007 9:07 PM To: Keller, Christopher subject: Re: I Big thank you. Sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Thu, 15 Nov 2007 20:15:14 To: ok. You will have--report tomorrow. Its impressive. christopher Keller Partner Labaton Sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 Sent from my BlackBerry Wireless Handheld ..... original Message ..... From: [email protected] spoke to Eric and its probably better that no Labaton person is there, since I will be trashing your competitor heavily. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, Christopher J." Date: Thu, 15 Nov 2007 13:45:49 To: Damon, following up on our conversation towards the end of the mediation, do you think a lunch next Monday or Tuesday is Doable? ..... Original Message ..... CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040414 Case 1:11-cv-10230-MLW Document 454-181 Filed 08/16/18 Page 5 of 5 From: [email protected] [mailto:[email protected] Hey Chris. How’s your dad? Also, give me your PIN so that we can communicate wio going through server. sent via BlackBerry by AT&T ..... Original Message ..... From: "Keller, christopher J." Date: Tue, 13 Nov 2007 22:13:22 To:"Tountas, Stephen W." Ill be in around 930 and to hotel at 10. christopher Keller Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Ph. 212-907-0853 sent from my BlackBerry Wireless Handheld ..... original Message ..... From: Tountas, Stephen W. To: Schochet, Ira; Keller, christopher J.; ’[email protected]’ FYI -- The mediation is scheduled to start at 9:30 a.m. tomorrow morning in the Flagler ballroom, which is only accessible via the elevator in the main lobby -- take the elevator to floor c2. chris -- we are meeting for breakfast in the hotel at 8 am if you would like to join us. steve ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040415 Case 1:11-cv-10230-MLW Document 454-182 Filed 08/16/18 Page 1 of 2 Message From: Keller, Christopher J. [!O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=REClPIENTS/CN=KELLERC] Sent: 10/13/2008 7:38:10 PM To: Belfi, Eric J. [[email protected]]; Bankston, Jennifer S. [[email protected]] CC: Sucharow, Lawrence [[email protected]]; Dubbs, Thomas [[email protected]] Subject: RE: Arkansas Teachers RFQ 2008-2 Great news. christopher J. Keller, Esq. Partner Labaton sucharow LLP 140 Broadway New York, NY 10005 Phone: (212) 907-0853 Fax: (212) 883-7053 e-mail: [email protected] www. Labaton.com ..... Original Message ..... From: Belfi, Eric J. Sent: Monday, October 13, 2008 1:57 PM To: Keller, christopher J.; Bankston, Jennifer S. Cc: Sucharow, Lawrence; Dubbs, Thomas subject: Fw: Arkansas Teachers RFQ 2008-2 Please see communication from ATRS below. I have reached out to Damon & Tim - it should not be an issue. Eric 3. Belfi Partner Labaton sucharow LLP 140 Broadway New York, N.Y. 10005 Telephone: +1.212.907.0878 Facsimile: +1.212.883.7078 [email protected] ~w.labaton.com ..... original Message ..... From: Christa clark I am pleased to inform you that subject to final approval of the Attorney General’s office, ATRS has selected Labaton sucharow as an additional monitoring counsel for our system. I would like to speak with you regarding the additional firm on your submission chargois & Herron. This is a little awkward, but since your firms are not legally affiliated, we are unable to process the state contract form with both firms listed. If your firm is doing the monitoring and providing the financial backing for the cases, I think it is most appropriate that we add your firm independently to the list of approved firms. Your firm may affiliate that firm or utilize them as independent contractors, if you deem is appropriate, on a case by case basis. There would be no requirement that you use them if it was not a necessary and appropriate expense of a case. I don’t know how to best handle this point but the state procurement process is not conducive to a joint proposal. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040446 Case 1:11-cv-10230-MLW Document 454-182 Filed 08/16/18 Page 2 of 2 Upon approval of the Attorney General, ATRS will send you a request for a form w-9, Arkansas Professional Services contract form, and state grant!contract disclosure form for your completion. Please call me if you have a minute to discuss. Regards, christa s. clark Chief Counsel Arkansas Teacher Retirement System 1400 W. 3rd st. Little Rock, AR 72201 (501) 682-1266 Direct (501) 682-6326 Fax (501) 590-2869 MOBILE email: [email protected] Attorney-Client Privileged communication. This electronic mail transmission, and any documents, files or messages attached contain information that may be confidential or legally privileged. If you are not the intended recipient, you are notified that the disclosure, copying, printing, or distribution of this transmission is strictly prohibited. If you received this transmission in error, please notify the sender by telephone or return email and delete the original message. Thank you. NOTICE: Any federal tax advice contained in this communication can not be used, or is not intended, for the purpose of avoiding penalties under the IRS code, or promoting or recommending to another party any tax-related matters herein. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040447 Case 1:11-cv-10230-MLW Document 454-183 Filed 08/16/18 Page 1 of 2 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 1/29/2007 9:09:08 PM To: ’[email protected]’ [[email protected]] CC: ’[email protected]’ [[email protected]]; Keller, Christopher J. [[email protected]] Subject: Action Plan Attachments: Arkansas.Louisiana.Texas.xls Dear Damon: As we discussed, here are the targets that we should start with. I think we should start with the I would like to set up an appointment for one our senior partners and come Ken again and possibly with Jarvis Hollingsworth in February. The meeting with Jarvis can be more informal. I have also attached the public funds for Texas, Arkansas and Louisiana. Please let us know which funds you have contacts in. Target List: 1. ~: As of December 2005, they had $6.8 billion under management. This would be a very attractive target to us. Also, as we discussed in the car, did you find out what happened with the~and~? 2. Unions listed on the williams & Bailey website: Texas 4. Arkansas CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040498 Case 1:11-cv-10230-MLW Document 454-183 Filed 08/16/18 Page 2 of 2 5. Louisiana (Stars indicated that they have moved for lead plaintiff before): Give me a call so that we can discuss 917-459-7526 (c). Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] www.labaton.com ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040499 Case 1:11-cv-10230-MLW Document 454-184 Filed 08/16/18 Page 1 of 1 Document Withheld CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040500 Case 1:11-cv-10230-MLW Document 454-185 Filed 08/16/18 Page 1 of 3 Message From: [email protected] [[email protected]] Sent: 1/30/2007 1:02:26 PM To: Belfi, Eric J. [[email protected]] CC: [email protected]; Keller, Christopher J. [[email protected]] Subject: Re: Action Plan Thank you for the timely response, Eric. T will get with Ken and Jarvis and send you an email shortly. sent via BlackBerry from Cingular Wireless ..... Original Message ..... From: "Belfi, Eric J." Dear Damon: As we discussed, here are the targets that we should start with. I think we should start with the ~and ~. I would like to set up an appointment for one our senior partners and myself to come down and meet with "n and possiblmY wr~t~ ~ in February. The meetin can be o n I have also attached the public funds for Texas, Arkansas and Louisiana. Please let us know which funds you have contacts in. Target List: As of December 2005, they had $6.8 billion under management. This would be a very attractive target to us. Also, as we discussed in the car, did you find out what happened with the Boilmakers and Lerach? 2. Unions listed on the Williams & Bailey website: 3. Texas CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040501 Case 1:11-cv-10230-MLW Document 454-185 Filed 08/16/18 Page 2 of 3 4. Arkansas 5. Louisiana (Stars indicated that they have moved for lead plaintiff before): CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040502 Case 1:11-cv-10230-MLW Document 454-185 Filed 08/16/18 Page 3 of 3 Give me a call so that we can discuss 917-459-7526 (c). Eric J. Belfi Partner Labaton sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] ~¢~w.labaton.com ***Privilege and confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040503 Case 1:11-cv-10230-MLW Document 454-186 Filed 08/16/18 Page 1 of 5 Message From: Belfi, Eric J. [/O=GOODKIN LABATON RUDOFF SUCHAROW/OU=FIRST ADMINISTRATIVE GROUP/CN=RECIPIENTS/CN=BELFIE ] Sent: 1/19/2007 12:30:10 AM To: Keller, Christopher J. [[email protected]] CC: Weiss, Sara [[email protected]] Subject: FW: Your Proposal to I From; Kamran Mashayekh [mailto:[email protected]] Sent-" Thursday, January 18, 2007 7:20 PM To: Belfi, Eric J.; Tim Herron; Damon Chargois; [email protected]; [email protected]; Persky, Bernard Subject-" FW: Your Proposal t1 Eric: looks like you will be Houston bound. Laurence is my former partner and presently working with Ken Bailey who has the union contacts that you are seeking. Look forward to seeing you soon. K From: Laurence Tien [maiito:[email protected]] Sent; Thu 1/18/2007 4:20 PM To-’ Kamran Mashayekh Cc; Tim Herron; Damon Chargois Subject; RE: Your Proposal to 1 I spoke to Ken. He is going to give me a day next week when he can meet with Eric and anyone else. He is interested. Laurence From: Kamran Mashayekh [mailto:[email protected]] Sent; Wednesday, January 17, 2007 1:38 PM To.’ Laurence Tien Cc: Tim Herron; Damon Chargois Subject; FW: Your Proposal to 1 Let us know LT if you have any news. Also, Tim and Damon will call you tomorrow morning to see if the call will take place since I will be out of town thursday through sat of this week. Thanks again for you help on this. From; Belfi, Eric J. [mailto:[email protected]] Sent: Wed 1/17/2007 1:32 PM To: Kamran Mashayekh; [email protected]; [email protected] Subject: Re: Your Proposal to WB CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040509 Case 1:11-cv-10230-MLW Document 454-186 Filed 08/16/18 Page 2 of 5 Any news? Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883 -7078 [email protected] www.labaton.com Sent from my BlackBer~" Wireless Handheld ..... Original Message ..... From: Kamran Mashayekh Thank you. I will be in louch as soon as I get a time comnfitmenl. I am also pushing 1"or an in person meeting for you. From: Beffi, Eric J. [mailto:EBetfi(a21abaton.com] Sent: Tuesday, January 16, 2007 10:06 AM To: Kamran Maslmyekh Cc: Persia.’, Bernard; Tim Herron; [email protected]; [email protected]; Damon Chargois Subject: RE: Your Proposal to ~ Kalnran: Today - aw time after 1PM today or aw time Thursday. Eric From: Kamran Mashayekh [mailto:l~amran(a;cmhllp.com] Sent: Tuesday, Jantuary 16, 2007 10:57 AM To: Belfi, Eric J. Cc: Persky, Bernard; Tim Herron; [email protected]; [email protected]; Damon Chargois Subject: RE: Your Proposal to~ Eric CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040510 Case 1:11-cv-10230-MLW Document 454-186 Filed 08/16/18 Page 3 of 5 Laurence informs me that Ken Bailey might be available to talk either today or Thursday. What are your available time slots should we firm up a call for today or Thursday? From: Belfi, Eric J. [.n..~..~.i..~..t~...;..E~B....e..l..~..~(~]~.~...a..b~Q..n..:..c~..~..)] Sent: Monday, Janua~7 15, 2007 11:57 AM To: Kainran Mashayekh; Perslu, Bernard Cc: Tim Herron; Damon Chargois; [email protected]; [email protected]; Laurence Tien Subject: RE: Your Proposal to ~ Dear Kamranl: Please find our Securities Class Action Primer. I have also attached a conple of case sludies. Please notc that thc BMS case was run by Amalgamted Bank (the only fidly owncd ~mion bank in the United States). Let: me know if thcrc is any other inforrntion that you need. Eric J. Belfi Partner Labaton Sucharow & Rudoff LLP 100 Park Avenue New York, New York 10017 Phone: (212) 907-0878 Fax: (212) 883-7078 [email protected] www.labaton.com ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you. From: Kammn Mashayekh [mailto:[email protected] Sent: Monday, Ja~ma~ 15, 2007 11:54 AM To: Belfi, Eric J.; Persky, Bernard Cc: Tim Herron; Damon Char [email protected]; [email protected]; Laurence Tien Subject: RE: Your Proposal Eric CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040511 Case 1:11-cv-10230-MLW Document 454-186 Filed 08/16/18 Page 4 of 5 My contact, Laurence Tiel~, at Ken Bailey’s firm informs me that he is interested in exploring these cases and requests that you provide a brief summary that outlines this particular genre of cases. Ken Bailey further states that he is willing to tap his union contacts should his due diligence on the merits of the case prove fruitful. Once the surmna~7 is received, we will proceed with a call and hopefully an in person meeting in Houston with Ken Bailey and Laurence Tien. Thank you K From: Belfi, Eric J. [mailto:[email protected]] Sent: Monday, Janua~7 15, 2007 10:21 AM To: Kanuan Mashayekh; Persky, Bernard Cc: [email protected]; [email protected]; Tim Herron; Damon Chargois Subject: RE: Your Proposal to ~ Kamraln: Thank you for :following up on this. I am generally available this week except for Wednesday (I will be in Canada). Eric From: Kamran Mashayekh [mailto:[email protected]] Sent: Monday, January 15, 2007 10:57 AM To: Belfi, Eric J.; Persky, Bernard Cc: [email protected]; [email protected]; Tim Herron; Damon Chargois Subject: Your Proposal to ~ Good Morning Eric: Further to your email of Friday regarding the above, I spoke to Ken Bailey’s firm who represents a multitude of unions in a variety of cases. They are interested in exploring further the contents of your entail and suggested that we set up a phone conference for you to fi~rther educate them on the merits of aw case we wish to bring I should have some time slots for us to choose :from relative to a phone conference with his finn for tomorrow and I will forward those to you by thc end of the day. As you so aptly suggested, omvard we move despite our failed attempts at securing the SRAM client. CONFIDENTIAL SUBJECT TO PROTECTIVE ORDER LBS040512 Case 1:11-cv-10230-MLW Document 454-186 Filed 08/16/18 Page 5 of 5 Thm~k you K ***Privilege and Confidentiality Notice*** This electronic message contains information that is (a) LEGALLY PRIVILEGED, PROPRIETARY IN NATURE, OR OTHERWISE PROTECTED BY LAW FROM DISCLOSURE, and (b) intended only for the use of the Addressee(s) named herein. If you are not the Addressee(s), or the person responsible for delivering this to the Addressee(s), you are hereby notified that reading, copying, or distributing this message is prohibited. If you have received this electronic mail message in error, please contact us immediately at 212-907-0700 and take the steps necessary to delete the message completely from your computer system. Thank you.