Anwar et al v. Fairfield Greenwich Limited et al

Filing 942

NOTICE of Noticeof Filing Corrected Exhibits. Document filed by Joaquina Teresa Barbachano Herrero. Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(Lindsey, Harold)

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Herrero v. Standard Chartered Banlr International (Amencas) Limited, et al., 1: l 1-cv-03553- VM Master File No. 1:09-cv-00118-UM-Tl IK UNITED STATKS DISTRICT COURT SOUTHKRN DISTRICT OF NKW YORI& PASHA ANWAR, et al., Plaintiffs, Master File No. I:09-cv-00118-UM-THK ECF CASE FAIRFIELD GREENWICH LIMITED, et al., Defendants. This document relates to: Joaquina Teresa Barbachano Herrero v Standard Chartered Bank International (Americas) Limited and Standard Chartered PLC, 7: l l-cv-03553- VM he corn NOTICE OF FILING CORRKCTKD EXHIBITS Plaintiff, JOAFJUINA TERESA BARBACI-IANO HERRERO ("Barbachano"), by and through undersigned counsel, hereby gives Notice of Filing corrected Exhibits F and G to the proposed Amended Complaint. against Defendants, STANDARD CHARTERED BANK INTERNATIONAL LIMITED and STANDARD CHARTERED PLC (collectively, Amended Complaint was previously submitted the "Defendants" ), which to the Court in connection l@katzbarroin letter request for leave to amend the Complaint, dated October 3, (AMERICAS) with Barbachano's proposed pending 2012. Respectfully submitted, Ilies By. /s/ H. Euaene Lindsev H. Eugene Lindsey III Florida Bar No, 130338 New York Bar No 2421923 . KATZ BARRON SQUITERO FAUST 2699 S. Bayshore Drive, 7"'loor Miami, Florida 33133-5408 Telephone: (305) 856-2444 Facsimile: (305) 285-9227 Attorneys for Plamtiff KATZ. BAF.RON. 5 2699 S BAVSHORE QU F.I ED BERG, ENGLISH & ALLEN, FLOILIDA 33I33-5408 305-856-2444 IT ERG, FAUST, DF.IVL, SEVENTH FLOOR, MIAMi. F F ~ ~ A 305-2/LS-c~~& /Herrero v. Standard Chartered Bank International (Americas) Limited, et al., I: Il cv03553-YM Master File No. I:09-cv-00118-YM-THI& CERTIT'ICATE OF EERFICE WE HEREBY CFRTIFY that on October 9, 2012, we electronically filed the foregoing document with the Cleric SULLIVAN of the Court using CM/ECF and by PDF/email attachment, & CROMWELL LLP THE BRODSKY LAW FIRM New York, New Yorlc Patrick B. Berarducci Miami, Florida - berard ucci n(al sull crom.corn Richard Brodlcsy "d~dI Attomieys tl.l / I li I for Standard Chartered Banlc International (Americas) Limited and Standard Chartered PLC CURRAN on: Plaintiffs Steemng Committee Limson & ASSOCIATES RIV ERO MES PRE LLP Miami, Florida Miami, Florida Laurence E Curran, III lecurran(allecurran.corn Jorge A. Mestre imestre(dlsnic-attorneys,coiii Plailitiffs Steering Committee Member Plaintiffs Steering Committee Member AGUIRE, MORRIS & SEVERSON LLP San Diego, California Michael J. Aguire maauirre@atrrslawvers.corn Maria C Severson LnscvcrsonRamstawvers.corn Plaintiffs Steermg Committee Member KATZ BARRON SQUITERO FAUST Attorneys for Plaintiff 2699 S. Bayshore Drive, 7"'loor Miami, FL 33133 Telephone: 305-856-2444 Facsimile; 305-285-9227 By' / 1CATZ, BARS. ON, 5 oU IT ERG, FAUST. FR 2699 5 BAVSHORE DRIVE, SEVENTH FLOOR. dy H. B-/L"" Li IIL E H Eugene Lindsey III, Esq. I ED SERG. MIAMI, FLOE.IDA ENGLISH 8L ALLEN, 33133-5408 305-856-2444 ~ 3~ P ~ A Cllentt Cgsnt Number - Portfolio 4662.1 Exhibit 10 1of3 Asset Allocation analysis: June 2008: Position Cash Cash 1,336,088 calyon Fin Produots (Guernsey) Ltd Bonds 202,219 202,219 70,357 70,357 319,456 3'l9,458 Amer Express Emerging Mkt Debt Amer Express GL EM Mkt Short TM Bonds 1,336,066 Signature portfolios - Global Equities Porlfogo 1,744,723 Discretionary Portfolio 969,984 All 295,378 295,378 All 4Q4,377 404,377 Alt 454 010 ~454 Q10 Amer Express Traditional All Inv Global Moderate Fund - Global Psrmsl FX Fmsnclsls 8 Futures Mkt Neutral Ltd Falrflsld Sentry Ltd Totals 5,796,572 Asset Allocation percentages ~ June 2Q06 1,744,723 387,994 1,338,068 581,990 980,027 2,326,714 1,153,788 23% 40'/ December 200'7: Position Cash Cash Cash Discretionary Dynamic Global Asset Allocation Bonds ~Euitlss Alt 2,985 Portfolio 276,896 Signature Portfolios - Global Equltlss Portfolw 2,721,945 Drscretlonary Portfolio 1,316,979 Parmal Fixed Income Holdings Alt 280,248 280,246 Permal Fixed Income Special Opportunitlss Alt 530,887 830,887 Psrmal FX Frnancisls & Futures Ltd Alt 458,814 458,814 Feirfisld Sentry Ltd Alt 965,802 95b,802 TrsdlBonal Global Moderate 6,544,565 Asset ABocation percentages ~ December 2007 2,769 74,762 185,520 13,845 2,721,945 526,792 3~ 5,754 790,188 601,554 9% 3,697,653 57'.~ I 2,239,595 91% EXHIBIT ! Prepared by; Coglsr Consulting, Inc, ['ra~e~Wa Cllentt Client Number ~ Portfolio 4852.1 2of3 Exhibit 10 J tins 2008: Trios Position Amount Eaultlss 148,752 74,376 Portfolio 2,706,216 2,705,216 Portfolio 411,322 Portfolio 1,271,677 Amer Express GL EM Mkt Absolute Return Signature Portfolios - Global Equities Discretionary Dynamic Global Asset Agocstlon Discretionary Traditional Global Moderate Alt 25,215 25,215 111,057 275,586 608,671 4,113 763,006 20,666 Alt Ltd Fairfield Sentry Ltd 279,686 482,860 482,880 Alt 8 Futures 279,686 Ait Psrmal Fixed Income Holdings Permai FX Flnanolals Bands Cash 983~300 ~963 300 29,329 6,308,028 Totals Asset Allocation percentages - June 2006 894,104 11% 0% 11% 3,818,184 C ~l 1,766,412 89% September 2008'I Cash Amount Position Cash Cash 16,281 Portfogc Discretionary Dynamic Global Asset ABocation Discretionary I'radltlonal Global Moderate Portfolio 57,772 Alt 57,772 2,418,745 2,418,745 370,694 Porlfolio Signature Portfolios - Global Equities Equities 15,281 115,644 Amer Express GL EM Mkt Absolute Return Bands 1,150,489 100,087 248,365 460,196 3,707 690,293 18,535 Permsl Fixed Income Holdings Alt 268,672 268,672 Psrmal Macro l.loldlngs Ltd Alt 454,693 454,693 F airfield Sentry Alt Ltd 5,790,913 Totals Asset Agocstion percentages - September 2008 Prepared by: Collier Consulting, ~998 798 Inc, 15,968 0 618,055 11% 3,415,175 1,738,698 Client: Client Number ~ Portfalla 4862.1 Exhibit 10 3of3 Deoember 2008: Position T Cash e Cash World Express GL EM Mkt Absolute Signature Portfolios Dlscretlanary Return - Glabal Equities Amount 1,011,691 Portfatio 302,243 Eauities Alt 1,011,691 21,288 1,874,904 Porlfolro Discretionary Traditional Global Moderate Bonds 42,511 Portfolio Dynamia Global Asset Allocation Cash 7,963 21,256 1,874,904 3,022 81,605 202,503 15,1'l2 4,778 Permsl Fixed income Holdings Ail 229,010 229,010 Perrnal IVlacra Holdings Ltd All 435,468 435,468 Sentry t td All F airfield Totals 3,903,796 Asset Allocation percentages - December 2008 1,014,713 105,046 26% 2,103,440 679,M7 54% 29% 17% 71% September 2009: ~Te Position Cash Cash Amer Express GL EM Mkt Absolute Return Srgneturo Portfolios ~ Global Fquities Signature Portfolias - US Discretmnary Multi Amount 510,369 Cash Bonds 510,359 5,269 2,635 PortfoOc Dynamic Global Asset Allocation Totals Asset AOacstlon percentages - September 2009 2,396,803 Portfolio 1,078,399 Portfolio 638,430 6 364 148 379 483 687 4,624,760 Seator Fixed inc 516,724 1,225,913 2,882,124 27% 82% 2,398,803 1,078,899 11% 38% Prepared by: Collier Caneultlng, 2,635 inc, 0% 67% CM (f3 Kl 03 V3 G Q.. 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Securities products offered through Stanchart: Bank products and/or services are offered through SCBI and other bank and non-bank affiliates, or strategic partners. Not all products and services available to clients of SCBI or StanChart. Standard Chartered Signature and Dynamic Portfolios are discretionary asset mahagernent services made available to you Bank, together with its affiliates or subsidiaiies and are advised by its affiliates and selected sub advisers. Subscriptions can only be made through the respective Fund's discretionary account agreement, which can be obtained through your Relationship Manager. In relation to the products and services detailed in this presentation, additional Terms and Conditions may apply. You should obtain details of these Te'rms and Conditions contained in the subscription agreement, prospectus or offering documents, before proceeding. by Standard Chartered additional Terms and Conditions may apply. You In relation to the products and services detailed in this presentation, should obtain details of these Terms and Conditions contained in the prospectu's or offering documents, before proceeding. Mutual funds are offered through prospectus/offering documents. Please consider the risks; charges, expenses and investment objectives prior to investing in mutual funds, The prospectus/offering documents which contain this and other important information can be obtained by contacting your Relationship Manager. Please read-these documents carefully, before investing. Wedge funds are speculative investments and are not suitable for alf investors, nor do they represent a complete investment program. Hedge funds are not subject to the same regulatory requirements'as mutual funds. An investment in a hedge fun involves the risk inherent in an investment in securities, as well as specific risks associated with limited liquidity, the use of There can leverage, short saies, options, futures, derivative instruments, "junk" bonds and illiquid investments assurances that a manager's strategy, hedging or otherwise, will be successful or that a manager will use this strategy with respect to all or a portion of the portfolio. For a more complete description of the risks associated with any hedge fund investment, please read the Offering Document which can be obtained by contacting your Relationship Manager. Important Information {Continuation) Investments in this presentation may concentrate on certain economic sectors, lhereby increasing its vulnerabiilty to any single economic, political or regulatory development. This may result in greater price volatility. Additionally, investments may focus on certain geographical regions, thereby increasing its vulnerability to developments in that region. This may result in greater price volatility. Investing in foreign securities presents certain risks not associated with domestic investments, such as currency fluctuation, political and economic instability, and different accounting standards. This may result in greater price volatility. Non-diversiTied investments involve greater risk than diversified investments, because a loss resulhng from a particular security or sector's poor performance will have a greater impact on the investments'verall return. Investments in fixed income securities will fluctuate in price.and yield depending on market conditions and funds invested may be worth more or less than their original cost. the value may fall as well as rise and in some circumstances you may not get back the full amount invested. You are not certain to make a profit, and may lose money. Changes in rates may cause the value of investments to go up or down. If your base crirrency is other than the base currency of the underlying assets, changes in rates of exchange may have an adverse effect on the value of your investments. Past performance should not be seen as an indication of future performance. The level, rates and bases of, and relief from, taxation are those currently available and may change in the future. This presentation does not purport to disclose all of the risks associated with investment products. With anv investment You should make your own legal and tax determination (including any applicable exchange control regulations) on investment products, and should consider carefully whether the investment products are suitable for you in light. of your personal risk appetite, liquidity requirement and return objectives (including the legal and tax regimes in your countnes of citizenship, residence and/or domicile). We do not provide you with any legal, tax or accounting advice regarding the suitability or profitability of a security or investment. This presentation does not constitute an offer, solicitation or invitation to transact business in any country where the marketing or sale of these products and seivices.would not be permitted under local laws. This material is not approved for distribution to any person in the US or to US citizens or residents.

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