Begnal, Dorr Buckley of Park Street Capital, LLC

Dorr Buckley Begnal of Park Street Capital, LLC

Media Releases

“The announcement of a $1 million pledge by Boston Baked Bonz founder John Talbot and his partner Dorr Begnal brought howls of approval at the Farm Sanctuary gala Saturday night at New York’s Cipriani Wall Street.” Talbot said they made the pledge because Farm Sanctuary’s animal protection efforts jibe with the mission of the Boston-based dog cookie and apparel company. (05/20/2008)

Dorr Begnal donated $2,000 to John Kerry’s campaign for President (2004).

Dorr Begnal is listed as a Director of Park Street Capital in a profile of fellow Director Harry Turner (May 2002).

Tucker Anthony Inc. spins out into Park Street Capital, where Dorr Begnal is a Director (April 2002).

Dorr B. Begnal is elected to the Board of Trustees for Clarkson University (March 2002).

Dorr Begnal and John Talbot won a pet photo contest for Boston.com (1999).

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Hockin, John Christopher of Whitney & Co., LLC

John Christopher Hockin of Whitney & Co., LLC

Media Releases

The following media summaries are included from a previous comprehensive investigation conducted in December of 2007:

Whitney & Co. LLC, established in 1946 by the industrialist and philanthropist John Hay Whitney, was one of the first U.S. private equity firms, pioneering the development of the industry. Whitney & Co. is headquartered in Stamford, Conn., and also has an office in San Francisco, Calif.

J.H. Whitney & Co. and Golden Gate Capital shed 9.6 million shares in Herbalife through a $346 million secondary offering (Nov 2005).

J.H. Whitney & Co owns 21% of NMT Medical Inc., a company that develops devices to treat vascular conditions (June 2005).

John Hay Whitney and his wife auction off part of the Whitney family art collection; the pieces are estimated at $140 to 190 million. The article cites J.H. Whitney & Company as the oldest venture capital company in America (Jan 2004).

Whitney & Co., LLC and Golden Gate Capital, Inc. merged with Herbalife International Inc. The deal is valued at approximately $685 million (April 2002).

J.H. Whitney & Co. streamlines its name to Whitney & Co. Whitney & Co. has offices in New York, Boston, San Francisco, Tokyo, Hong Kong and Singapore and is headquartered in Stamford, CT (June 2000).

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Davis, Aryeh of Pequot Capital Management, Inc.

Aryeh Davis of Pequot Capital Management, Inc.

LinkedIn Profile stating current position as General Counsel at Hawkes Financial LLC/Acadia Woods Partners, LLC

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Media Releases

May 2010 Daily Finance article entitled “Pequot Charged With Insider Trading, Settles With SEC”

May 2009 Bloomberg article entitled “Pequot Capital to Shut Amid SEC Insider-Trading Probe”

December 2007 Institutional Investor article entitled “Update: Pequot’s Puzzling HF Closures”

In July of 2006, John Mack, CEO of Morgan Stanley, was expected to testify before the SEC as part of the investigation into possible insider trading by Pequot Capital Management. A former SEC enforcement unit lawyer claimed that Mack was on top of his list of people who might have leaked nonpublic information to Pequot about GE Capital’s $5.2 billion purchase of Heller Financial in 2001. Mack is a friend of Pequot founder Arthur Samberg, an investor in Pequot, and briefly served as chairman of the hedge fund in 2005. The SEC enforcement unit lawyer also claimed that Pequot made $18 million in profit off of the merger.

In June of 2006, Pequot Capital Management admitted that they were being investigated by the SEC. The firm denied being involved in any alleged insider trading or market manipulation scheme. A Pequot spokesperson also stated that the SEC hadn’t issued a “Wells Notice” which notifies intention to take action. The investigation came to light following the disclosure of a letter from Gary J. Aguirre, a former legal officer of the SEC. He sent the letter to Senators Chuck Hagel and Christopher Dodd. The 18-page letter claims alleged market manipulation and insider trading by Pequot. The letter alleges that there were 18 occasions of insider trading. Mr. Aguirre also alleged two violations relating to “wash sales.”

In 2006, former SEC staff attorney Gary Aguirre filed a lawsuit against the SEC. He claims that he was fired by the SEC after his Pequot Capital probe into insider trading got too close to John Mack, chief executive of Morgan Stanley. He believed that the reason for the dismissal was due to the fact that Mr. Mack had political ties as a major fundraiser for President George Bush. The Senate hired investigators to pursue allegations that Mr. Aguirre was fired for political reasons. Mr. Aguirre claims that he was fired only 11 days after he was awarded a two-step merit pay increase and after his supervisors had praised his work on the Pequot investigation.

In 2006, Pequot Capital was described as a $7 billion fund.

In 2005, Pequot Capital purchased a stake in Pangea Capital, a Singapore-based bank.

In September of 2005, Byron Wien joined Pequot Capital as Chief Investment Strategist. He was previously employed at Morgan Stanley.

In June of 2005, Pequot Capital Management named John Mack as chairman. Art Samberg remained the CEO of the company. John Mack is a longtime friend of Arthur Samberg’s.

In January of 2003, Aryeh Davis was promoted to general partner at Pequot Ventures.

A media release notice to the NJ Bar lists that Aryeh Davis is again eligible to practice law after he was made ineligible in 1999.

A compilation of information was gathered on Aryeh Davis, including past employments, education information, and relevant media releases.

Berger, Samuel Richard of D.B. Zwirn & Co., LP

Samuel Richard Berger of D.B. Zwirn & Co., LP

Media Releases

A myriad of articles exist concerning Samuel R. Berger. The articles contained in this investigation and summarized below are indicative of the media found on Mr. Berger.

A group of House Republicans has called for a Congressional investigation into the improper handling of classified documents by Samuel R. Berger, Bill Clinton’s National Security Adviser. The group has asked the House Government Reform Committee to determine whether any documents are missing from the Clinton administration’s terrorism records, to review security measures for classified documents and to seek testimony from Mr. Berger (Oct 2006).

Mr. Berger defended the Clinton Administration’s handling of Bin Laden pre 9/11, indicating that the White House would have acted to take Bin Laden out if there was a good opportunity to do so (Sept 2006).

Samuel Berger is featured in the HBO History Makers Series. Sandy Berger is cited as one of the most important players in American foreign policy in recent decades. (Sept 2006).

Stonebridge International, a leading international business advisory firm, expands its business in India. Mr. Berger serves as Chairman of Stonebridge and is also Chairman of DB Zwirn Global Investments, an affiliate of an international alternative investment fund and merchant capital provider with more than $4 billion in capital under management (March 2006).

Samuel R. Berger plead guilty to reckless driving in Virginia. The judge fined him $250 for driving 88mph in a 55mph zone. Mr. Berger was on probation at the time of the incident (September 10, 2005) for a prior conviction regarding the smuggling of classified documents from the National Archives (Nov 2005).

On September 8, 2005, Samuel Berger was fined $50,000 for taking classified material from the National Archives. Berger was also sentenced to 100 hours of community service and 2 years probation. He plead guilty to a misdemeanor charge, admitting that he took 5 copies of a 2000 assessment of antiterrorism efforts on two separate visits to the archives in 2003. He destroyed 3 of the copies. He also admitted to removing handwritten notes he had taken at the facility Mr. Berger expressed deep regret for his actions (Nov 2005).

Sandy Berger was stripped of his security clearance for three years for removing classified terrorism documents from the National Archives (Sept 2005).
Sandy Berger stated that he removed the classified documents so he could prepare himself and others to assist the 9/11 Commission. The documents taken by Berger dealt with the terror threats during the 2000 millennium celebration, according to parties in the case. Berger’s associates admit he took five copies of an after-action report detailing the 2000 millennium terror plot from the Archives. The aides say Berger returned to his office, discovered that three of the copies appeared to be duplicates and cut them up with scissors. The revelations were a dramatic change from Berger’s claim last year that he had made an “honest mistake” and either misplaced or unintentionally threw the documents away. When Archives officials contacted him after they realized documents were missing, Berger told them about the two copies he had, and returned them, along with his handwritten notes, officials said (Sept 2005).
Samuel Richard Berger, moves up from deputy director to director of the National Security Council. Berger was a law student serving as a speechwriter to Democratic presidential candidate George McGovern in 1972 when he became friends with Bill Clinton, also a law student, who was a field organizer for the campaign. Clinton and Berger have remained in close touch ever since (Jan 1997).
Prior to his service in the Clinton Administration, Mr. Berger practiced law with the Washington law firm of Hogan & Hartson, where he was a partner and headed the firm’s international trade group.

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O’Dea, Darrell William Joseph of Threadneedle Asset Management, Ltd.

Darrell William Joseph O’Dea of Threadneedle Asset Management, Ltd.

Media Releases

In October of 2005, the Avon pension fund stated that Threadneedle Asset Management would be subject to intense monitoring following underperformance and poor stock selection. The fund returned 11.6% over the 12 months that ended in June of 2005, while the benchmark had returns of 15.6%.

In September of 2005, an article was written titled “Threadneedle seeks a reversal of fortune.” This profiled Threadneedle and the troubles the firm had been having recently due to poor investment performance and key staff departures. Threadneedle management had been considering changes to its business strategy, as well as changes with management.

In 2004, Threadneedle’s total assets under management were listed at $119 billion.

In 2003, Simon Davies, chief executive of Threadneedle Investments joked that Threadneedle was the only fund manager to have a standing re-branding committee. The company was formed in 1994 and was owned by British American Financial Services (BAT). BAT sold Threadneedle in 1999 to Zurich Financial Services. Zurich then merged it with their US subsidiary, Scudder and formed Scudder Threadneedle. They then sold the Threadneedle to American Express that retained the name Threadneedle and stated they would not change it.

In 2002, Threadneedle bought a 29.9% stake in Attica Holdings UK Limited.

In 2002, Threadneedle Asset Management was listed as managing $67 billion in equity, fixed income, and property investments.

In April of 2005, Darrell O’Dea stepped down as lead manager of Threadneedle to concentrate on his own hedge fund duties.

In June of 2003, American Express and Zurich Financial Services Group announced an agreement for Amex to acquire Threadneedle from Zurich.

In December of 2005, Threadneedle Asset Management refused to accept the 1.5 million-pound takeover bid by a group led by Macquarie Ltd, Australia’s largest investment bank.

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