SEC Presentation #3 (1/9/07) Barry Goldsmith Anthony Mahaj an Jim Walden Subject to Confidentiality Agreement of 11/14/2006 • GIBSON. DLINN'Sz,CRUTO.-11 ri LIP and ab w& s. EFTA00727161

J. Carpinello February 24, 2011 Page 3 The Gibson Dunn-led investigation lasted five months and cost $20 million. The investigation was headed by Barry Goldsmith, a partner at Gibson Dunn who had formerly served as Executive Vice President for Enforcement of NASD and as Chief Litigation Counsel at the SEC. G