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Parties

Plaintiffs

Lead Plaintiffs

  • RH Capital Associates LLC ("RH Capital")
  • Pacific Investment Management Company LLC (“PIMCO”)

Named Plaintiff

  • PIMCO Funds: Pacific Investment Management Series - PIMCO High Yield Fund

Defendants

The Company

  • Refco Inc. (“Refco”)
  • Refco Group Ltd., LLC (“Refco Group”)
  • New Refco Group Ltd., LLC (“New Refco”)
  • Refco Finance Holdings LLC (“Refco Finance Holdings”)
  • Refco Finance Inc. (“Refco Finance”)
  • Refco Capital Markets Ltd. (“Refco Capital”)

Bennett Shell-Entity Defendants

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

Refco-Affiliated Defendants

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

Officer Defendants

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

Audit Committee Defendants

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

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

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

Auditor Defendant

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

Stock Underwriter Defendants

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

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

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