EX-99.(D) 10 k71197exv99wxdy.txt SHAREHOLDER CLASS ACTION LAWSUITS SUMMARY EXHIBIT 99(d)
CIVIL PLAINTIFF DEFENDANTS ACTION # DATE FILED SERVED JUDGE CLAIMS ----------------------------------------------------------------------------------------------------------------------------------- 1 Adrienne Green CMS Energy Corp 02-72004 5/17/2002 5/22/2002 George Caram Steeh Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Consumers Energy 5/22/2002 Magistrate Violation of Section William T. McCormick, Jr. unknown Judge Carlson 20(a) of The Exchange David W. Joos 5/22/2002 Act Alan M. Wright 5/22/2002 2 Gershon Chanowitz CMS Energy Corp 02-72045 5/21/2002 5/22/2002 Paul D. Borman Violation of Section William T. McCormick, Jr. 5/22/2002 Magistrate 10(b) of The Exchange Alan M. Wright 5/22/2002 Judge Pepe Act and Rule 10b-5 3 Bruce F. Hansby CMS Energy Corp 02-72061 5/22/2002 5/23/2002 Anna Diggs Taylor Violation of Section 10(b) of The Exchange Act and Rule 10b-5 William T. McCormick, Jr. 5/23/2002 Magistrate Violation of Section David W. Joos 5/23/2002 Judge Pepe 20(a) of The Exchange Alan M. Wright 5/23/2002 Act Tamela W. Pallas unknown 4 Craig Drimel CMS Energy Corp 02-72101 5/23/2002 5/28/2002 Avern Cohn Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Consumers Energy 5/28/2002 Magistrate Violation of Section William T. McCormick, Jr. 5/28/2002 Wallace Capel 20(a) of The Exchange David W. Joos 5/28/2002 Act Alan M. Wright 5/28/2002 5 Peter L. Knepell CMS Energy Corp 02-72108 5/23/2002 5/28/2002 John Corbett O'Meara Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Consumers Energy 5/28/2002 Magistrate Judge Violation of Section William T. McCormick, Jr. 5/28/2002 Virginia Morgan 20(a) of The Exchange David W. Joos 5/28/2002 Act Alan M. Wright 5/28/2002
**Served but not named in Complaint. Page 1 of 4 SEC INVESTIGATION CLASS ACTION MATRIX
CIVIL PLAINTIFF DEFENDANTS ACTION # DATE FILED SERVED JUDGE CLAIMS ----------------------------------------------------------------------------------------------------------------------------------- 6 Jeffrey P. Jannett CMS Energy Corp 02-40140 5/24/2002 Paul V. Gadola Violation of Section William T. McCormick, Jr. 12(a)(2) of The David W. Joos Securities Act Alan M. Wright Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Violation of Section 20(a) of The Exchange Act 7 Melvin Billik CMS Energy Corp 02-10155 5/31/2002 6/4/2002 David M. Lawson Violation of Section Consumers Energy** 6/4/2002 Magistrate 10(b) and Rule 10b-5 William T. McCormick, Jr. 6/4/2002 Judge Binder Violation of Section David W. Joos 6/4/2002 20(a) of The Exchange Alan M. Wright 6/4/2002 Act 8 Frank Emmerich CMS Energy Corp 02-72251 6/3/2002 Nancy G. Edmunds Violation of Section William T. McCormick, Jr. Virginia Morgan 10(b) of The Exchange David W. Joos Act and SEC Rule 10b-5 Alan M. Wright Violation of Section 20(a) of The Exchange Act 9 George T. Carofino CMS Energy Corp 02-72326 6/6/2002 6/7/2002 George E. Woods Violation of Section Consumers Energy** 6/7/2002 Magistrate Judge Pepe 10(b) of The Exchange William T. McCormick, Jr. 6/7/2002 Act and Rule 10b-5 David W. Joos 6/7/2002 Violation of Section Alan M. Wright 6/7/2002 20(a) of The Exchange Act 10 Psychiatric CMS Energy Corp. 02-72338 6/7/2002 Bernard A. Friedman Violation of Section Association William T. McCormick, Jr. Magistrate Judge 10(b) of The Exchange of Ridgewood P.A. David W. Joos Komives Act and Rule 10b-5 Alan M. Wright Violation of Section 20(a) of The Exchange Act
**Served but not named in Complaint. Page 2 of 4 SEC INVESTIGATION CLASS ACTION MATRIX
CIVIL PLAINTIFF DEFENDANTS ACTION # DATE FILED SERVED JUDGE CLAIMS ----------------------------------------------------------------------------------------------------------------------------------- 11 Milton M. George CMS Energy Corporation 02-40165 6/14/2002 6/20/2002 Paul V. Gadola Violation of Section Consumers Energy** 6/20/2002 10(b) of The Exchange William T. McCormick 6/20/2002 Act and Rule 10b-5 David W. Joos 6/20/2002 Violation of Section Alan M. Wright 6/20/2002 20(a) of The Exchange Act 12 Raymond J. Potter CMS Energy Corporation 02-60136 6/19/2002 6/20/2002 Marianne O. Battani Violation of Section Consumers Energy 6/20/2002 Magistrate 10(b) of The Exchange William T. McCormick, Jr. 6/20/2002 Virginia M. Morgan Act and Rule 10b-5 David W. Joos 6/20/2002 Violation of Section Alan M. Wright 6/20/2002 20(a) of The Exchange Act 13 Charles Harris CMS Energy Corporation 02-72584 6/20/2002 6/24/2002 John Corbett O'Meara Violation of Section IRA Account Consumers Energy 6/24/2002 Magistrate 10(b) of The Exchange William T. McCormick, Jr. 6/24/2002 Wallace Capel Act and Rule 10b-5 David W. Joos 6/24/2002 Violation of Section Alan M. Wright 6/24/2002 20(a) of The Exchange Act 14 H. Mark Solomon CMS Energy Corporation 02-72610 6/24/2002 Arthur J. Tarnow Consumers Energy Magistrate Violation of Section William T. McCormick, Jr. Judge Capel 10(b) of The Exchange Dick W. Joos Act and Rule 10b-5 Alan M. Wright Violation of Section 20(a) of The Exchange Act 15 John Inelli William T. McCormick 02-72818 7/10/2002 George Caram Steeh Violations of Sections Alan M. Wright Magistrate 10(b) and 20(a) of The CMS Energy Corporation Judge Capel Exchange Act and Rule 10b-5
**Served but not named in Complaint. Page 3 of 4 SEC INVESTIGATION CLASS ACTION MATRIX
CIVIL PLAINTIFF DEFENDANTS ACTION # DATE FILED SERVED JUDGE CLAIMS ----------------------------------------------------------------------------------------------------------------------------------- 16 Charles Brown CMS Energy Corporation 02-72830 7/11/2002 George E. Woods Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Consumers Energy Magistrate Violation of Section William T. McCormick, Jr. Judge Carlson 20(a) of The Exchange David W. Joos Act Alan M. Wright 17 Richard Garry CMS Energy Corporation 02-72863 7/12/2002 Bernard A. Friedman Violations of Section Richardson 10(b) and Rule 10b-5 William T. McCormick Magistrate Violations of Section David W. Joos Judge Scheer 20(a) of The Exchange Alan M. Wright Act 18 Adam Z. Rice CMS Energy Corporation 02-72920 7/17/2002 7/24/2002 Julian Abele Violations of Section William T. McCormick, Jr. 7/24/2002 Cook, Jr. 10(b) of The Exchange David W. Joos 7/24/2002 Act and SEC Rule 10b-5 Alan M. Wright 7/24/2002 Violation of Section 20(a) of The Exchange Act
**Served but not named in Complaint. Page 4 of 4