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)

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: [phone]
Facsimile: [phone]
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 [e-mail]
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: [phone]
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%

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Important Information
Standard Chartered Bank International (Americas) Limited ("SCBI*') and StanChart Secunties International, Inc.,
{"Stanchart") are wholly owned subsidiaries of The Standard Chartered Bank: The Standard Chartered Private Bank is the
private banking division of Standard Chartered Bank. 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 be.no
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
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