EFTA00726318.pdf

Financial Industry Regulatory Authority January 20, 2010 Harry P Susman, Esq. y LLP Houston, TX 77002 Subject: FINRA Dispute Resolution Arbitration Number 09-00979 Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector Dear Mr. Susman: Pursuant to the Code of Arbitration Procedure, your case is ready for the appointment of Arbitrators. Please be advised that the Securities and Exchange Commission (SEC) has approved the Codes of Arbitration Procedure for Customer (Customer Code) and Industry (Industry Code) disputes. The Customer and Industry Codes became effective on April 16, 2007 and apply to all claims filed on or after the effective date. Please note that the list selection provisions of the new Customer or Industry Codes apply to claims filed prior to the effective date in which a list of Arbitrators has not yet been generated and sent to the parties, or in which an entirely new list of Arbitrators must be generated. In cases where a new list must be generated, even though the list has been generated under the new Customer or Industry Codes, the claim will continue to be governed by the remaining provisions of the old Code of Arbitration Procedure (Old Code), unless all parties agree to proceed under the new Customer or Industry Codes. A brief summary of the rules pertaining to Arbitrator selection is below. The Code of Arbitration Procedure' provides that FINRA Dispute Resolution will send to the parties a list of Arbitrators within 30 days after the last answer is due. The enclosed Arbitrator list(s) for the above-referenced case are sent in accordance with the applicable new Code. In addition to the Arbitrator lists, also enclosed is each Arbitrators Arbitrator Disclosure Report for your review. The Arbitrator Disclosure Reports include each Arbitrators past NASD and FINRA awards. NYSE awards are not currently listed on the Arbitrator Disclosure Reports. However, the Arbitrator's NASD, FINRA, and NYSE awards, if any, are available through our online award database at www.finra.org/arbitrationmediation/index.htm. Panel Composition 'Customer Code Rule 12403(b) Industry Code Rule 13403(b) Investor protection. Market integrity. Dispute Resolution One Liberty Plaza t Northeast Regional Office wwwfinra org New York. NV 10006-1404 EFTA00726318 1. Single Arbitrator Cases Where the amount in controversy is $100,000 or less, the Code of Arbitration Procedure2 requires that one Arbitrator hear the case, unless all parties agree otherwise in writing. In single Arbitrator cases, FINRA Dispute Resolution will send the following lists to all parties, depending on the type of claim. A. For all Public Customer Cases and any Intra-Industry Claims Brought Under Industry Code Rule 13402031 In accordance with the Code of Arbitration Procedure,' a single public Arbitrator will be appointed from the public Chairperson roster. FINRA Dispute Resolution will send each party a list containing eight public Chairperson names. In accordance with the Code of Arbitration Procedure,' each separately represented party may strike up to four of the arbitrators from the list by crossing through the names of the Arbitrators. At least four names must remain on the list. If an Arbitrator on the parties' consolidated list is not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. B. For Infra-Industry Claims Brought Under Industry Code Rule 13402(a) In accordance with the Code of Arbitration Procedure,5 a single non-public Arbitrator will be appointed from the non-public Chairperson roster. FINRA Dispute Resolution will send each party a list containing eight non-public Chairperson names. In accordance with the Code of Arbitration Procedure,° each separately represented party may strike up to four of the Arbitrators from the list by crossing through the names of the Arbitrators. At least four names must remain on the list. If an Arbitrator on the parties' consolidated list is not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. 2. Three Arbitrator Cases Where the amount in controversy is more than $100,000, or the claim is for unspecified or non-monetary damages, the Code of Arbitration Procedure' requires that three Arbitrators hear the case. 2Customer Code Rules 12401(a) and 12401(b) Industry Code Rules 13401(a) and 13401(b) 'Customer Code Rule 12403(a)(1) Industry Code Rule 13403(b) 'Customer Code Rule 12404 Industry Code Rule 13404(a) 5lndustry Code Rule 13403(a) °Industry Code Rule 13404(a) 'Customer Code Rule 12401(c) EFTA00726319 In these cases, FINRA Dispute Resolution will send the following lists to all parties, depending on the type of claim. A. For all Public Customer Cases and any Infra-Industry Claims Brought Under Industry Code Rule 13402(b) In accordance with the Code of Arbitration Procedure,8 FINRA Dispute Resolution will send three lists of Arbitrators to the parties. Each list will contain eight names. One list will contain eight names from the public Chairperson roster, another list will contain eight names from the public roster, and the last list will contain eight names from the non-public roster. In accordance with the Code of Arbitration Procedure,8 each separately represented party may strike up to four of the Arbitrators from each list by crossing through the names of the Arbitrators. At least four names must remain on each list. If an Arbitrator on the parties' consolidated list is not available to fill the slot on the panel, the Director will appoint the next available Arbitrator. B. For Infra-Industry Claims Brought Under Industry Code Rule 13402(a) In accordance with the Code of Arbitration Procedure,10 FINRA Dispute Resolution will send two lists of Arbitrators to the parties. One list will contain eight Arbitrators from the non-public Chairperson roster; the other list will contain sixteen arbitrators from the non-public roster. In accordance with, the Code of Arbitration Procedure," each separately represented party may strike up to four of the Arbitrators on the list containing eight names, and eight of the Arbitrators on the list containing sixteen names. At least four names must remain on the list containing eight names, and at least eight names must remain on the list containing sixteen names. If an Arbitrator on the list is not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. 3. Cases Involving Statutory Employment Discrimination The Code of Arbitration Procedure72 requires that public Arbitrators hear all cases involving statutory employment discrimination claims. In such cases, where the amount in controversy is $100,000 or less, a single public Arbitrator will be appointed. Where the amount in controversy is more than $100,000, three public Industry Code Rule 13401(c) 8Customer Code Rule 12403(a)(2) Industry Code Rule 13403(b)(2) °Customer Code Rule 12404 Industry Code Rule 13404(a) wIndustry Code Rule 13403(a)(2) "Industry Code Rule 13404 12lndustry Code Rule 13802(c) EFTA00726320 Arbitrators will be appointed. In accordance with the Code of Arbitration Procedure," a single Arbitrator or Chairperson of a three-Arbitrator Panel in a case involving a statutory employment discrimination claim will be appointed from a public roster of Arbitrators with special statutory discrimination qualifications. The procedures to strike and rank Arbitrators in a statutory discrimination claim remain the same as the striking and ranking procedures in all public customer and intra- industry cases as mentioned above. A. Single Arbitrator Case FINRA Dispute Resolution will send each party a list containing eight public Chairperson names with special statutory employment discrimination qualifications. Each separately represented party may strike up to four of the Arbitrators from the list by crossing through the names of the Arbitrators. At least four names must remain on the list. If an Arbitrator on the parties' consolidated list is not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. Three Arbitrator Panel FINRA Dispute Resolution will send two lists of Arbitrators to the parties. One list will contain eight Arbitrators with special statutory employment discrimination qualifications from the public Chairperson roster, the other list will contain sixteen Arbitrators from the public roster. Each separately represented party may strike up to four of the Arbitrators on the list containing eight names, and eight of the Arbitrators on the list containing sixteen names. At least four names must remain on the list containing eight names, and at least eight names must remain on the list containing sixteen names. If an Arbitrator on the list is not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. 4. Cases Involving Promissory Notes Only The Code of Arbitration Procedure" requires that a single public Arbitrator with special statutory discrimination qualifications hear all cases in which the sole allegation is money owed on a promissory note. If the associated person files a Counterclaim or Third/Party Claim for over $100,000, the Code of Arbitration Procedure requires a three-Arbitrator Panel. The procedures to strike and rank Arbitrators in a promissory note claim remain the same as the striking and ranking procedures in all public customer and intra-industry cases as mentioned above. A. Single Arbitrator Case FINRA Dispute Resolution will send each party a list containing eight public Chairperson names with special statutory employment discrimination qualifications. Each separately represented party may strike up to four of the Arbitrators from the list by crossing through the names of the Arbitrators. At least four names must remain on the list. If an Arbitrator on the parties' consolidated list is " Industry Code Rule 13802(c)(3) "Industry Code Rule 13806 EFTA00726321 not available to fill the slot on the Panel, the Director will appoint the next available Arbitrator. B. Three Arbitrator Panel FINRA Dispute Resolution will send three lists of Arbitrators to the parties. One list will contain eight Arbitrators with special statutory employment discrimination qualifications from the public Chairperson roster, another list will contain eight names from the public roster, and the last list will contain eight names from the non-public roster. Each separately represented party may strike up to four of the Arbitrators from each list by crossing through the names of the Arbitrators. At least four names must remain on each list. If an Arbitrator on the parties' consolidated list is not available to fill the slot on the panel, the Director will appoint the next available Arbitrator. Arbitrator Ranking Form Each Arbitrator's classification as a public or a non-public Arbitrator is accurate at the time of his or her selection to the list. As noted above, parties have limited strikes to eliminate Arbitrators. Each separately represented party may strike through or cross out Arbitrators on each list for any reason. If a party does not strike through or cross out an Arbitrator's name, the Arbitrator will be deemed acceptable. After striking Arbitrators from each list, each separately represented party may rank the remaining Arbitrators on each list. Parties should rank the remaining Arbitrators on each list by assigning each remaining Arbitrator a different numerical ranking, with 1 as the highest ranking. FINRA Dispute Resolution will consolidate the parties' rankings and, in consolidated rank order, contact Arbitrators on each consolidated list for appointment to the Panel. Arbitrator Ranking Form Due Date Please sign and return the list to our office so that we receive it on or before February 9, 2010. If we do not have your list on or before the return date, you will be deemed to have accepted all Arbitrators on the list Parties may, but are not required to, send a copy of their lists to the opposing parties. After the return date has passed, we will consolidate the parties' lists and inform you of the Arbitrator(s) appointed to the Panel. Arbitrator Ranking Form Due Date and Requests for Additional Disclosures Parties may request additional information from prospective arbitrators. FINRA Dispute Resolution will expedite delivery of a party's request for additional information to the arbitrator, and the arbitrator's response to the parties. If an arbitrator does not respond to a request for additional information, FINRA Dispute Resolution will notify the parties. Product Related Requests Received by FINRA Dispute Resolution within 10 Days The Arbitrator Ranking Form due date will be extended in cases where FINRA Dispute Resolution receives a party's request for additional product related information within 10 days from the date this office sent the form to the parties. The parties will have 20 days from the date FINRA Dispute Resolution receives the party's request for additional information to submit the Arbitrator Ranking Form. This office will notify the parties of the new Arbitrator Ranking Form due date. Product Related Requests Received by FINRA Dispute Resolution after 10 Days and all Other Requests for Additional Information The Arbitrator Ranking Form due date will not be extended in cases where FINRA Dispute Resolution receives a party's request for additional product related information more than EFTA00726322 10 days after the date this office sent the form to the parties. In addition, the Arbitrator Ranking Form due date will not be extended in cases where parties request non-product related information. In these cases, the Arbitrator Ranking Form will be due on the date listed in the above titled section "Arbitrator Ranking Form Due Date." Motions15 Motion practice (other than motions to dismiss, as noted below) is governed by Customer and Industry Code Rules 12503 and 13503, respectively. Responding to Motions Parties have 10 days from the receipt of a written motion to respond to the motion, unless the moving party agrees to an extension of time, or the Director or the Panel decides otherwise. Responses to written motions must be served directly on each other party, at the same time and in the same manner. Responses to written motions must also be filed with the Director, with additional copies for each Arbitrator, at the same time and in the same manner in which they are served on the parties. Motions Filed Prior to the Initial Pre-hearing Conference If a party files a motion before the Initial Pre-hearing Conference, FINRA Dispute Resolution will transmit the motion and any responses to the Panel in accordance with the Code of Arbitration Procedure 12503 and 13503. If the motion is not forwarded to the Panel before the initial pre-hearing conference, the moving party may raise the issue with the Panel at the conference and ask the Panel to establish a schedule for responding to the motion. Motions to Dismiss FINRA Dispute Resolution has adopted Customer Code Rule 12504 and Industry Code Rule 13504 to establish specific procedures that will govern motions to dismiss. FINRA also amended the dismissal provisions of Rules 12206 and 13206 (the eligibility rule) related to time limits on submissions of arbitration claims. The rules will ensure that parties have their claims heard in arbitration, by significantly limiting motions to dismiss filed prior to the conclusion of a party's case-in-chief and by imposing stringent sanctions against parties for engaging in abusive practices under the rules. The effective date of the new rules is February 23, 2009. The new rules will apply to motions to dismiss filed on or after the effective date. For more information, please review Regulatory Notice 09-07 and the Frequently Asked Questions document we published on our Web site, www.finra.org. Is For questions about motion practice under the Old Code, please contact your case administrator. EFTA00726323 Please contact our office if you have any questions. Very truly yours, Nicole C. C. Haynes Case Assi tant Mana er Phone: NCla idr: RECIPIENTS: Gabrielle Gould, Esq., Bear Stearns Kramer Levin Naftalis & Fankel LLP, , New York, NY 10036 Gabrielle Gould, Esq., Bear Stearns n m In . Kramer Levin Naftalis & Fankel LLP, New York, NY 10036 Gabrielle Gould, Esq., The Bear SteAggSraga Kramer Levin Naftalis & Fankel LLP, New York, NY 10036 Harry P Susman, Esq., Susman Godfrey LLP, Harry P Susman, Esq. Susman Godfrey LLP, nc. Houston, TX 77002 Inc. , Houston, TX 77002 Meredith L. Turner, Esq., Warre Wachtel, Lipton, Rosen & Katz, iliaM, New York, NY 10019-6150 EFTA00726324 INITIAL PRE-HEARING CONFERENCE SCHEDULING CALENDAR CASE NUMBER: 09-00979 March-April 2010 Monday Tuesday Wednesday Thursday Friday 22 23 24 25 26 29 30 31 1 Please review the above two (2) week calendar, confer with the other party(ies) and provide FINRA with four (4) mutually agreeable dates and times when all parties are available to schedule an initial pre-hearing telephonic conference (IPHC). If the parties are unable to find four (4) mutually agreeable dates during this two-week period, kindly provide dates in the subsequent weeks. The parties have conferred and propose the following dates for scheduling the IPHC: 1. 2. 3. 4. * Please make sure you speck the hours of availability for each date provided 6e. 10/18/04 between 9:00 a.m. and 2:00 p.m.) You have on or before February 9, 2010 to reply to FINRA with your availability for the initial pre-hearing telephonic conference. Please keep your potential dates and times available in the meantime. We will advise you of the actual initial pre-hearing telephonic conference date and time under separate cover. If the parties fail to provide mutually agreeable dates and times by the due date, this office will schedule the initial pre-hearing telephonic conference based on the arbitrators' availability and the parties will have to provide mutually agreeable alternate dates in order to reschedule the conference call. EFTA00726325 FINRA Dispute Resolution Case ID: 09-00979 Public Chairpersons Arbitrator ID ARBITRATOR RANKING FORM Case Name: Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector Arbitrator Name Party Ranking/Struck Leona Beane Richard Herzfeld Howard Weitz Irwin Kahn Zuhayr Moghrabi Richard Weinberger David Goldblatt Mitchell Friedman Public Arbitrators Arbitrator ID Arbitrator Name Dora Lassinger Harold Webb Richard Dannenberg Pamela Roderick Alice Lee-Getman John Kennedy Peter Trinkle Edward Toptani Non-Public Arbitrators Arbitrator ID Arbitrator Name Mark Egert James Berliner • Brian Neville Andrew Donovan Antonio Concepcion R. Garley Larry Befeler Kevin Naughten Party Ranking/Struck Party Ranking/Struck Limited strikes are permitted for each group of Arbitrators. Please refer to the Code of Arbitration Procedure or the cover letter that accompanied the Arbitrator Ranking Sheet for specific instructions. Claimant/Respondent: Submitted By: on behalf of: Signed: Staff ID: LeeC Please Print Name Page 1 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726326 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01(152010 Name: Ms. Leona Beane Arbitrator ID: CRD #: City/State/Country: New York / NY / United States Classification: FINRA Mediator: Chair Status: Qualified Public No ARBITRATOR Skills In Controversy: There are no skills in controversy information. Skills in Securities: There are no skills in security information. Start Date 01/1984 09/1978 End Date Present 12/1999 EMPLOYMENT Firm Leona Beane Baruch College C.U.N.Y. Position Attorney Professor of Law Start Date 09/1964 09/1962 09/1959 09/1955 End Date 05/1968 05/1964 05/1962 05/1958 EDUCATION School New York Law School Columbia University City College City College Decree JD MS MBA BBA TRAINING Completed Description Details Firm/School Hours Location 02/8008 Mediation Training Creating Settlement Federal District Court 2 Brooklyn, NY 06/2009 Expungement - 2008 Opportunities at Pre-Mediation Eastern District FINRA 1 Refresher 10/2008 Non-Securities Related Arbitration MA 5 New York, NY Training 10/2008 Additional Securities New FINRA Pilot Fordham Law School 1 New York, NY Training 06/2008 Mediation Training Decision Tree Analyis for Mediation Dispute Resolution Institute 13 Durham, NC 05/2008 Mediation Training New Horizons in Mediation Network of 8 Durham, NC Conflict Resolution North Carolina 04/2008 Mediation Training Advanced Mediation NYS Judical 8 White Plains, NY Training Institute-OCA 05/2007 Non-Securities Related Arbitration Update N.Y.C.L.A. 3 New York, NY 04/2007 Training Revised Code of NASD 2 online Arbitration Staff ID: LeeC Page 2 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726327 FINRA Dispute Resolution Arbitrator ID: 06/2006 Mediation Training Securities Arbitration CLE Program 3 New York, NY & Mediation Securities Arb/Med-Hot Topic 06/2006 Mediation Training Update for Mediators Superior Court 4 Newark, NJ 05/2006 Non-Securities Related Commercial 3 New York, NY Training Arbitration 05/2006 Mediation Training Advanced Mediation NYS Office of Court 4 New York, NY Training Admin. 01/2006 Mediation Training Court Ordered Mediation, Inc. 40 Chapel Hill, NC Mediation Training 09/2005 Non-Securities Related Employment Law 3 New York, NY Training Essentials 06/2005 Additional Securities Hot Topics Securities 3 New York, NY Training Arb/Med 05/2005 Additional Securities NYSE 3 New York, NY Training 03/2005 Mediation Training NASD New York, NY 03/2005 Mediation Training Bankruptcy Court 24 New York, NY ABRAMS/Negotiation 01/2005 Non-Securities Related Ethical Dilemas in 3 New York, NY Training ADR 01/2005 Mediation Training EEOC 16 New York, NY 12/2004 Expungement online mini-course NASD 1.5 (online) 11/2004 Mediation Training Mediation in 3 New York, NY Bankruptcy 10/2004 Mediation Training NJ Assoc. of 6 New Jersey Professional Mediators 08/2004 Mediation Training New Jersey Superior 4 Newark, NJ Court 06/2004 Mediation Training CLE Program Hot 3 New York, NY Topics Securities Arb 05/2004 Mediation Training Center for Mediation 36 N.Y.S. In Law 03/2004 Mediation Training Custody & Visitation 16 New York, NY Mediation 02/2004 Mediation Training Family & Divorce 40 New York, NY Mediation 01/2004 Additional Securities Arbitration Practicing Commercial 3 New York, NY Training Arbitration 06/2003 Mediation Training NYCLA Effective Med. 3 New York, NY Advocacy 05/2003 Additional Securities NYSE 3 New York, NY Training 02/2003 Mediation Training John Jay 14 New York, NY College/Basic Model 10/2002 Additional Securities NYSE 3 New York, NY Training 09/2002 Mediation Training Columbia Law School 25 New York, NY 03/2002 New Chairperson NASD 11 New York, NY Training [NASD) 02/2002 Non-Securities Related ABA Dispute 7.5 Philadelphia, PA Training Resolution 01/2002 Non-Securities Related NY State Bar Assn - 3 New York, NY Training Alternative D. R. Staff ID: LeeC Pape 3 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726328 FINRA Dispute Resolution Arbitrator ID: 12/2001 New Panel Member NASD 11 New York, NY Training [NASD] 06/2001 Mediation Training Mediation Training in Center for Social 20 Ann Arbor, MI 06/2001 Additional Securities Guardianship Gerontology Mediation NYCLA ADR 6 New York, NY 03/2001 Training Mediation Training Essential Skills in Arb. ABCNY/JAMS Conflict 27 New York, NY 01/2001 Non-Securities Related Resolution. Workshop NYSBA - Alternative 3 New York, NY 06/1999 Training Mediation Training Dispute Resolution NYCLA 24 New York, NY 04/1999 Additional Securities Mediation/Commercial NYCLA Securities 1.5 New York, NY 06/1997 Training Mediation Training Arbitration Supreme Court 3 New York, NY 03/1993 Additional Securities NYC/JAMS Med. Workshop AAA Securities 3 New York, NY 09/1992 Training Non-Securities Related Arbitration Training AM Advanced 3 New York, NY 09/1992 Training Non-Securities Related Arbitration Training AAA Basic Arbitrator 3 New York, NY Training Training DISCLOSURE/CONFLICT INFORMATION Type Has an account with I am a client of Has published Was Arbitrator for Is a Member of Bar Association Is a member of Has published Mediator for Had an account with Had an account with Had an account with Had an account with Mediator for Arbitrator for Is a member of Is a member of Licensed to Practice Law in Is a member of Is a member of Arbitrator for Mediator for Staff ID: LeeC Firm Name UBS Financial Services Inc. Wechsler and Cohen "Mat Is Mediation and How Does It Work?" AAA American Bar Association American Judges Association Deskbook, NYSBA 2008 E.E.O.C. Gruntal & Co., L.L.C. J. B. Hanauer & Company Janney Montgomery Scott LLC Merrill Lynch Pierce Fenner & Smith N.C. Dispute Resolution Commission NY County Lawyers Association NY County Lawyers Assn. NY Womens Bar Association NYS Federal Court National Academy of Elder Law Attorneys National Association of Women Lawyers National Futures Association New Jersey Superior Court Page 4 of 75 Details PaineWebber Article 10/29/2007 Dispute Resolution Section Chapter 26, Mediation (New York Lawyers) Ryan Beck & Co. Certified Attorney Fee Disputes Chair, ArbJ ADR Committee (4 yrs) Co-Chair, Trusts & Estates Southern & Eastern District Former President Publicly Available Awards Current as of 01/20/2010 EFTA00726329 FINRA Dispute Resolution Arbitrator ID: Mediator for New York County Lawyers Association Attorney Fee Dispute Is a member of New York County Lawyers Association Is a Member of Bar Association New York State Dispute Resolution Section, Vice Chair Was Arbitrator for New York Stock Exchange Mediator for Safe Horizon Had an account with Scudder Investments Arbitrator for Small Claims Court Mediator for Supreme Court NY Commercial Division Arbitrator for Supreme Court-Commercial Division (ADR Neutral) Has an account with TIAA-CREF Arbitrator for U. S. District Court Eastern District Mediator for U. S. District Court Eastern District Mediator for US Bankruptcy Court, Eastern & Southem Districts Licensed to Practice Law in US Supreme Court Has an account with Wachovia Bank Small Checking account Had an account with Wexford Clearing Services, LLC Has published "Powers of Attorney" article (8/23/02) Lectured on "Talk Can Work" Mediation Pgm (10/21/04), NY, NY Lectured for American Bar Assn- Partnership/Corporations Has published Article: Fiduciary Relationship of a Partner Has published Article: Forged Endorsement by Drawers Attorney Has published Article: Guardian Proceedings in NY State Has published Article: Infant as a Member of Partnership Has published Article: Interference w/Competitors Employees Has published Article: Mediation Contested Guardianships (6/02) Has published Article: Nuts and Bolts of Partnerships & Corp. Has published Article: Rights of Drawers, Banks & Holders Has published Article: Rules Relating to Formation of Contracts Has published Article: Terminating An Agent's Authority Has published Article:Partial Pay Exception/ UCC Sale of Goods Lectured for Assn of the Bar of the City of NY Has published Book: Essentials of Corporation Law Staff ID: LeeC Pape 5 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726330 FINRA Dispute Resolution Arbitrator ID: Has published Book: Essentials of Partnership Law Has published Book: Materials in the Law of Business Contracts Has published Corporate Practice Handbook 2 Chapters NYSBA Has published Corporate and Partnership Law (chapter) NYSBA Has published Guardians and Guardians Ad Litem (article) Has published Guardianship Practice in NY (Chapters) & Assn. Ed Has published Guardianship: Challenging, Frustrating(article) Lectured on NY County Lawyers Assn.-Mediation in Bankruptcy Lectured on NY County Lawyers Association-Med. Advocacy skills Lectured on New York County Lawyers Association -Guardianship Licensed to Practice Law in New York State Lectured on New York State Bar-Ethical Dilemmas in ADR PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Conant as of 01/20/2010 Case ID Case Name Close Date 08-01521 Theodore Charles Kunz vs. Abel Noser Corp. 06/26/2009 08-00085 Stephen B. Grayer vs. A.B. Watley Direct, Robert F. Malin & Stephen Malin, A.B. Watley, Inc. etal 02/05/2009 05-02803 Elizabeth S. Hevey and Denis Hevey v. A.G. Edwards & Sons, Inc. 03/22/2007 03-04420 David Cullen and Kathleen Cullen, et al v. American Financial Advisors, Inc., et al 03/22/2007 05-01790 Larry Deutsch v. Berry-Shino Securities, Inc. and Albert Brinmore Britton, Jr. 08/21/2006 05-00484 Ehrenkrantz King Nussbaum, Inc. v. Jason Konior 01/30/2006 03-02373 Maria Rudelli vs. RBC Dain Rauscher Inc. Paul E. Butler 05/12/2004 03-00112 William and Ann Peattie IRA vs. Salomon Smith Barney, Inc. and Brian Cleary 01/30/2004 01-04361 Morgan Stanley Dean Witter Inc. vs. Schmuel Benyakov 08/16/2002 ARBITRATOR BACKGROUND INFORMATION I had been a tenured Professor of Law at Baruch College (City University of New York) from 1978 until 1999. I was on the full time faculty, initially starting as an Assistant Professor, was promoted to Associate Professor, and promoted to Full Professor in 1985. I taught law courses to business students in both the B.B.A and M.B.A. programs Contracts, Partnerships, Corporations, and Negotiable Instruments, including conducting seminars for the Executive M.B.A. program on all business law related topics. I have written several articles and books in the areas of Contracts, Partnerships, and Corporations, and also Negotiable Instruments. I am the author of Chapter 1, "Corporate and Partnership Law" in New York Lawyers Desk book (published by the New York State Bar Association, 1989; Chapter revised and updated each year). Staff ID: LeeC Page 6 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726331 FINRA Dispute Resolution In 1999, I accepted an early retirement incentive, and, since then, I have been Professor Emeritus. Arbitrator ID: Since approximately 1985, I have had a part time law practice, primarily general practice, representing small to medium size businesses, partnerships and corporations, probate, wills, and estate matters. including guardianships. I've lectured at several bar association programs sponsored by the New York State Bar Association, New York County Lawyers Assnriation, and the American Bar Association on topics relating to Forming and Operating Closely Held Business (including partnerships and corporations) and Buying and Selling a Small Business. During the past 15 years, I have written several articles in the area of Guardianship, and have also lectured at many Guardianship Training Programs. I have written several articles including, "Should Mediation be available as an option to reduce litigation in contested guardianship cases"(NYS Br. June 2002); "Beware the misuse of powers of attorney" (NYLJ August 23, 2002), in addition to several other articles. I am and have been active In many different bar associations including American Bar Association, Dispute Resolution Section, NYS Bar Association, Dispute Resolution Section (Vice Chair); Business Law Section (member of Corporation Law Committee, Partnership Sub-Committee), and other Committees and sections over the years; member, New York County Lawyer's Association-Supreme Court Committee; Elder Law Committee; ADR and Arbitration Committee. Chair (4 yrs); Estates Trusts and Surrogate's Court Practice Section and other committees; I am also a member of the American Judges Association (1990 to present); I was President of the National Association of Women Lawyers, 1988 to 1989. I have been serving as Mediator and ADR Neutral in the Supreme Court, Commercial Division in New York County, 1996 to present, and have handled several commercial disputes of all types in the Court; I have been serving as a Special Master in the Supreme Court, New York County for the past twenty years and had been Co-Chair of the Special Masters Committee for three years; as a Special Master, I assisted the Supreme Court and Civil Court in resolving discovery related and other motions, and also settlement conferences in all types of cases. I have been a Mediator (and Arbitrator) in Attomey Fee Disputes at New York County Lawyers Association. 1998 to date; I have been serving as an Arbitrator in the Small Claims Court for over 20 years and was President of the Small Claims Arbitrators Association. I had been an Arbitrator for the American Arbitration Association, Commercial Dispute Panel and sat on several panels involving contract disputes, and partnership and shareholder disputes; I also serve as an Arbitrator and Mediator for the U.S. District Court, Eastern District. I am an arbitrator for the National Futures Association. I am a mediator certified by the NC Dispute Resolution Commission for Superior Court civil matters. I am a mediator with Safe Horizon, and am on the roster of mediators for the US Bankruptcy Court, Southern and Eastern Districts, and on the Roster of mediators for the NJ Superior Court. I am a mediator for the US E.E.O.C. I have attended and completed several Training Programs for both arbitrators and mediators. I co-chaired a program at the annual meeting of the NYS Bar Association, January 27, 2005 on "Ethical Dilemmas in ADR" I co-chaired a CLE Program "Arbitration Disputes in Business Transactions" May 23, 2006. I chaired CLE program "Arbitration Update" from Pre-hearing to Post-hearing--What Lawyers Need to Know" at NY County Law Association May 3, 2007 I have attended the Annual Hot Topics for Securities Arbitrators and Mediators each year for the last six years. last program June 9, 2009. I wrote Chapter 26, Mediation, NY Lawyers Deskbook (NYSBA). I am appointed by the Appellate Division First Department as a Special Master-Mediator in their Pre-Argument Appeals Program. I have the following degrees: BBA, MBA, MS and JD. Staff ID: LeeC Page 7 of 75 Publicly Available Awards Section. Current as of 01120/2010 EFTA00726332 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/1512010 ARBITRATOR Name: Mr. Richard L. Herzfeld Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD #: City/State/Country: New York / NY / United States Classification: Public Skills in Securities: FINRA Mediator: No There are no skills in security information. Chair Status: Qualified EMPLOYMENT Start Date End Date Firm Position 07/2001 Present Bahn, Herzfeld & Muller, LLP Partner/Attorney 11/1990 03/1998 Rosen Einbinder & Dunn Of Counsel 11/1987 01/2001 Richard L. Herzfeld Sole Proprietor 01/1982 10/1987 Kimmelmar Sexter & Sobel Associate 01/1979 01/1981 Appellate Division Second Department Law Assistant 01/1977 01/1979 Nassau County Legal Aid Staff Attorney EDUCATION Start at End Date School Decree 09/1981 05/1984 NYU LLM Taxation 09/1974 06/1977 SUNY Buffalo JD 09/1969 12/1972 SUNY Buffalo BA TRAINING Completed Description 03/2009 Motion to Dismiss Training 01/2009 Expungement - 2008 Refresher 08/2007 Revised Code of Arbitration 12/2004 Expungement online mini-course 07/1996 Chairperson Securities Training 03/1994 Intro Securities Arbitrator Training Details Firm/School Hours Location FINRA 1 FINRA 1 FINRA 2 online NASD 1.5 online NASD 6 New York, NY NASD 4 New York, NY DISCLOSURE/CONFLICT INFORMATION Tvoe Firm Name ils Staff ID: LeeC Page 8 of 75 Publicly Available Awards Section, Current as of 0120/2010 EFTA00726333 FINRA Dispute Resolution Initiated/defended legal action against Has made a disclosure about Has made a disclosure about Has made a disclosure about Has an account with Has made a disclosure about Has an account with Initiated/defended legal action for Has made a disclosure about Has made a disclosure about Initiated/defended legal action against Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Initiated/defended legal action against Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Has made a disclosure about Initiated/defended legal action against Has an account with Has made a disclosure about Initiated/defended legal action against Has made a disclosure about Initiated/defended legal action against Has made a disclosure about Has an account with Has made a disclosure about Has made a disclosure about Staff ID: LeeC Arbitrator ID Investors Associates et. al Metalitsa v Investors Associates et. al 508 Securities B&W Global. LLC Brendan E. Cryan & Company Charles Schwab & Co., Inc. DE Trading LLC Fidelity Investments Institutional Srvcs Frankel Charles Schwab & Company, Inc Fidelity Investments Institutional Srvcs Rollin vs. Frankel GHA, LLC GP Direct Corp. Gaines Berland, et. al Grenadier v. Gaines Berland. et. al Heights Partners. Inc. J. H. Heffernan Securities J. Streicher & Co., LLC Jeffrey L. Aaron Kevin G. Boyle Securities Kingsood Investments, Inc. MND Partners Marquis Holdings, Inc. Matrix Trading, LLC Morgan Stanley DW Inc. Niall Campbell Peter Pauker Richard Meisenberg Robert G. Pears & Co. SNB Securities Salomon Smith Barney Smith Barney Sten Securities, LLC Sterling Foster & Co. Talking Horse. LLC Tolucca Pacific et. al. Trinity Trading Corp. Waterhouse Securities Weiskopf Silver & Co. William V. Frankel & Co. Dean Witter 1988 Caschetta v. Salomon Smith Barney Hadge vs. Smith Barney J. Gregory & Company /Sterling Foster & Co. Bastek v. Tolucca Pacific et. al. Page 9 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726334 FINRA Dispute Resolution Has made a disclosure about Has made a disclosure about Was Arbitrator for Initiated/defended legal action for Has made a disclosure about Initiated/defended legal action for Initiated/defended legal action against Had an account with Arbitrator for Initiated/defended legal action against Has made a disclosure about Initiated/defended legal action for Has made a disclosure about Initiated/defended legal action against Has made a disclosure about Is a Client Is a Client Is a member of Is a Member of Bar Association Was a member of Is a Client Initiated/defended legal action against Is a member of Has made a disclosure about Has made a disclosure about WIlima Toll Z & Z Securities, Inc. AM & NYC Civil Court W.V. Frankel G & L Partners Jeffrey Brooks Securities Inc. Josephthal Kemper Securities, Inc. NYSE National Securities On Point Executions Wellmont Securities Arbitrator IO: 1991 1991 Lidz v. Josephthal Woodworth vs. National Securities Adverse against: Davidson Asset Management For Wnckowski vs. VVindmwski Kemper Securities Group/Bateman Eichler,Hill Kollner v. PaineWebber Mitoric Trading and LTL Intl Trading Corp. New York County Lawyers New York State Bar Association PIABA Paul Schopf, Richard Whittington, Rizwar Gundal SNB Securities 1991 Securities Subcommittee Seff vs. Frankel Weiskoff v. Morgan Stanley PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name 06.01679 Robert Montanino v. H&R Block Financial Advisors, Inc. 07-01269 Daniel H. Morris v. Aurora Capital LLC & Jeff E. Margolis 06-05308 Jacob Bimbaum vs. Worldco LLC 99-00982 Peter V. Christiansen v. Craig Moss and PaineWebber Inc. 96-02028 Arnold Taft vs. Cantella & Co., Inc., Curt F. Stetson and Harold Gong et al Staff ID: LeeC Close Date 08/19/2008 03/24/2008 06/11/2007 10/19/2000 12/17/1997 Page 10 of 75 Publicly Available Awards Section, Current as of 0120/2010 EFTA00726335 FINRA Dispute Resolution 93-01522 Harvey and Elaine Luppescu v. A.R. Schmeidler & Co., Inc. and Arnold R. Schmeidler Arbitrator ID: 08/02/1994 ARBITRATOR BACKGROUND INFORMATION I am a member of Bahn Herzfeld & Multer, LLP in general practice, including the representation of small businesses in transactional matters and business litigation. As part of my practice, I represent both investors and broker dealers in securities arbitrations and litigation (both plaintiff and defense work) and also represent broker dealers and investment advisers in regulatory matters and general business affairs. I received my JD from the University of Buffalo and a masters in taxation from NYU. Additional Disclosure Information: 1. Former clients Paul Schopf, Richard Whittington, Rizwar Gundal, all money manages. 2. Additional Litigation: Rollin v Frankel, Seff v Frankel, Woodworth v. National Securities 3. Additional Litigation: Sedona v. Frankel et al 4. Additional Litigation: Frankel v. Fidelity et al 5. Additional Litigation: Reeding v. Avalon Staff ID: LeeC Page 11 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726336 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator. Chair Status: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through om snow Mr. Howard Weitz Scarsdale / NY / United States Public No Qualified ARBITRATOR Skills in Controversy: Account Related - Dividends, Account Related - Transfer, Executions - Execution Price, Executions - Limit v. Market Order, Employment - Breach of Contract, Employment - Commissions, Employment - Compensation, Employment - Libel or Slander, Employment - Partnerships, Employment - Promissory Notes. Employment - Wrongful Termination, Other - Underwriting Skills in Securities: Annuities, Corporate Bonds, Fannie Mae, Freddie Macs, Ginnie Maes, Government Securities. Hedge Fund. Limited Partnerships, Mutual Funds. Municipal Bonds, Municipal Bond Funds, Options. Private Equities, Preferred Stock. Real Estate Investment Trust. Structured Products, Variable Annuities. Warrants/Rights EMPLOYMENT Start Date End Date Finn Position 06/1981 Present Howard Weitz, P.C. Attorney/President 01/1975 06/1981 Howard Weitz, Esq. Attorney 01/1974 12/1974 Techinical Tape, Inc. In-House Attorney 01/1973 12/1973 Plaza Group, Inc. In-House Attorney 11/1963 12/1972 Leventritt, Bush et al Law Firm Associates/Partner 01/1960 10/1963 M.S. Scheiber & Company Tax Accountant 07/1955 12/1959 Several CPA Firms EDUCATION Start Date End Date School School of Business POEM LLB, Admitted to NY Bar, 196 BBA, Accounting 09/1955 09/1951 06/1959 Brooklyn Law School 06/1955 Bernard Baruch Completed Description Details TRAINING Firm/School Hours Location 04/2009 Motion to Dismiss FINRA 1 01/2009 Training Expungement - 2008 FINRA 1 Refresher 04/2007 Revised Code of NASD 2 online Arbitration 03/2007 Revised Code of NASD 2 online Arbitration 12/2005 Direct Communication NASD 1 online Rule Staff ID: LeeC Page 12 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726337 FINRA Dispute Resolution Arbitrator ID: 08/2005 New Chairperson NASD 11 online Training [NASD] 01/2005 Expungement online mini-course NASD 1.5 online 01/2005 Duty to Disclose online mini-course NASD 1 online 01/2005 Discovery/Abuse online course NASD 1 online 12/2004 New Panel Member NASD 11 New York, NY Training [NASD] 12/2004 Civility Training NASD 1.5 New York, NY DISCLOSURE/CONFLICT INFORMATION Tvoe Has an account with Has an account with Has an account with Had an account with Had an account with Had an account with Licensed to Practice Was Arbitrator for Is a Member of Bar Association Is a member of Firm Name Details Charles Schwab & Co., Inc. Joint account with spouse Citigroup Global Markets, Inc. Scottrade, Inc. Cadaret, Grant & Co., Inc. Charles Schwab & Co., Inc. Wachovia Securities, LLC CPA NYSE New York New York County Lawyers Association PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name Close Date 08-04263 Richard Berman and Dorothy Berman vs. Bear Steams & Co. Inc. 12/21/2009 07-03536 Michael Lewis v. Nordic Partners Inc. v. Anders Lindquist 11/04/2009 08-01978 Rosalie Sellitto vs. Ameriprise Financial Services, Inc. and Michael Sangirardi 08/31/2009 07-00114 Jason Cohen, individually and on behalf of Oracle services, Inc. FBO Jason Cohen vs. UBS 02/27/2008 Financial Services 05-00203 Howard Comart, Loretta Comart, David Liebowitz, et al v Merrill Lynch Pierce Fenner & Smith, 10/03/2006 04-07823 Inc, Michael Rosenthal, Stafford Reynolds v. Brown & Company rVkla J.P. Morgan Investment, LLC 11/03/2005 ARBITRATOR BACKGROUND INFORMATION I have practiced law on a full time basis since 1963. The areas of my practice during this entire period have been corporate and securities law, business and commercial law, trusts and estates, taxes and real estate. I hold a CPA license (inactive) that I obtained working as an accountant during the day while attending law school classes at night. My accounting background has been an extraordinary asset to me in connection with virtually every facet of my legal work. I joined the New York City law firm of Leventritt, Bush, Lewittes and Bender in 1963; I became a partner of the firm in 1967. The law firm's clients included a NASD member broker-dealer firm, a large New York Stock Exchange listed company and an Staff ID: LeeC Pape 13 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726338 FINRA Dispute Resolution Arbitrator open-end mutual fund. I left the law firm about nine years later when the firm contracted in size. After a short stint as in-house counsel to two American Stock Exchange listed companies, I started my own law practice in 1975, which I continue to date. I have done extensive work in securities law at the Federal and state levels, including Securities and Exchange Commission filings and other aspects of corporate compliance. I have worked on real estate partnership offerings and responded to a wide range of questions involving securities issues raised by clients. I have prepared and filed for clients investment advisor applications and broker-dealer registrations with Federal and state authorities. I have dealt directly with brokerage firms regarding transfers of restricted shares, proxy solicitations, share exchanges resulting from mergers, 'blue sky' qualification requirements and margin requirements for clients' accounts. I am familiar with the rules of the New York Stock Exchange and NASDAQ insofar as they apply to corporate directorships, stock options, shareholders meetings and when shareholder approval is required. I have dealt with the major public accounting firms regarding clients' financial statements and the application of generally accepted accounting principles. I have issued independent legal opinions for other law firms relating to securities and tax matters. I have represented individuals making investments in privately held companies, and I have negotiated the terms of and prepared documents relating to employment, partnerships, corporations and real estate. With respect to the trust and estate areas, in addition to drafting documents, I have been responsible for overseeing administration of estates and trusts and advising executors and trustees and I have served as an executor of an estate. An important part of my work in the estate and trusts area has been establishing brokerage accounts and reviewing all transactions in the accounts involving a wide variety of investments. I have extensive knowledge of the various types of qualified employee plans and have, with the assistance of pension planners, initiated plans for clients, both small and large. In both the estate and trust area and the pension area, a key part of my role as an attorney is to advise the executors and trustees of their responsibilities as fiduciaries of beneficiaries and pension plan participants. In the litigation area. I have actively assisted trial counsel in many commercial cases and I have tried two tax cases before the U.S. Tax Court. From a personal standpoint, I have been an investor in stocks and bonds over the years and have become familiar with a variety of market products available to investors. I received my law degree from Brooklyn Law School in 1959 and was admitted to the New York Bar in 1960. I received a Bachelor of Business Administration degree from the Bemard Baruch School of Business of the City College of New York in 1955. I also took post-graduate law school courses at NYU Law School during 1959 and 1960. I am a member of the New York County Lawyers Association. I believe that my ability to act as an independent arbitrator of a dispute is greatly enhanced by my legal, business, and accounting background, a significant portion of which relates to the securities industry. The integrity of any legal proceeding, whether it is in a courtroom or before an administrative tribunal, depends upon a fair and impartial hearing of the evidence, focusing on the real issues involved and a decision based upon the evidence. As a neutral arbitrator, I will reach unbiased decisions that I consider to be fair under the circumstances. Staff ID: LeeC Page 14 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726339 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Irwin Kahn Skills in Controversy: Arbitrator ID: Account Related - Breath of Contract, Account Related - CRD #: Margin Calls, Account Related - Transfer. Executions - Execution Price, Executions - Limit v. Market Order, City/State/Country: Wantagh / NY / United States Employment - Commissions, Employment - Compensation, Employment - Discrim. Age, Employment - Discrim. Disability, Employment - Discrim. Race, Employment - Libel or Slander on FormU-5, Employment - Promissory Notes, Employment - Retaliation, Employment - Sexual Harassment, Employment - Wrongful Termination, Other - Recruitment Disputes, Trading Disputes - Mark-ups, Trading Disputes - Sell Outs Classification: Public Skills in Securities: FINRA Mediator: Yes Common Stock, Government Securities, Limited Chair Status: Qualified Partnerships, Options, Preferred Stock. Real Estate Investment Trust, Warrants/Rights EMPLOYMENT Start Date End Date Firm Position 01/1979 Present Kahn and Horwitz. P.C. Senior/Founding Partner 01/1958 01/1979 Kahn & Horowitz Senior/Founding Partner EDUCATION Start Date End Date School pewee 01/1955 01/1951 01/1958 New York University Law School LLB 01/1955 City College of New York BA TRAINING Completed Description Details Finn/School Hours Location 01/2009 Expungement - 2008 FINRA 1 online Refresher 04/2007 Revised Code of NASD 2 online Arbitration 12/2004 Expungement online mini-course NASD 1.5 online 06/2004 Additional Securities Assn. Bar of NYC Training Securities Arb.& Med. 05/2004 Additional Securities Arb CLE Training Assn of Arbitrators Training 02/2004 Additional Securities CLE Training Association of Training Arbitrators 01/2004 Non-Securities Related NYS Bar Association Training ADR 10/2003 Mediation Training US District Court Mediation w/Agency/Gvt Staff ID: LeeC Page 15 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726340 FINRA Dispute Resolution Arbitrator ID: 06/2003 Mediation Training Advocacy Techniques in Mediation ABA 05/2003 Additional Securities NYCLA Prt. 37 Tng Training Arbitration/Mediation 01/2003 Non-Securities Related Professional Discipline NYSBA Training 01/2003 Non-Securities Related NYS Bar Association Training ADR 01/2002 Non-Securities Related Professional Discipline NYSBA Training 10/2001 Mediation Training Touro College Advanced Mediation 03/2001 Non-Securities Related Evaluator Assn of Trial Lawyers Training 01/2001 Additional Securities NYS Bar Association Training ADR 06/2000 Additional Securities Assn Bar of NYC-Sec. Training Hot Topics 2k 06/2000 Additional Securities ABA Roundup on ADR Training 02/2000 Mediation Training Supreme Court NY 24 Mediation Workshop 11/1999 Additional Securities NYCLA Ethics in ADR Training 11/1999 Additional Securities Association of Training Arbitrators CLE Training 04/1999 Non-Securities Related NYCTL Assn - Expert Training Witnesses 04/1999 Additional Securities NYCLA Securities Training Arbitration Update 1999 04/1999 Non-Securities Related NY Law School - Training Judging 04/1999 Non-Securities Related Assn/Bar Training NYC- Topics/Consumer Ed. 11/1998 Additional Securities Columbia University Training Negotiation 10/1995 Chairperson Securities NYSE Role of the New York, NY Training Chairperson 10/1995 Employment Law NYSE New York, NY Training 10/1995 Additional Securities NYSE Arbitrator New York, NY Training Training 10/1995 Participatory Arbitrator NYSE Discovery & New York, NY Skills Program Punitive Damages 11/1993 Additional Securities NYSE Arbitrator New York. NY Training Training 10/1993 Participatory Arbitrator NASD Pro se Parties 2.5 New York, NY Skills Program 03/1993 Arbitrator Luncheon NASD New York, NY 01/1993 Intro Securities Arbitrator NASD, NYSE & MA 8 New York, NY Training 05/1992 Non-Securities Related AM Arbitration Day 7 New York. NY Training Staff ID: LeeC Page 16 of 75 Publicly Available Awards Section, Current as of 0112012010 EFTA00726341 FINRA Dispute Resolution Arbitrator ID: Tvoe Lectured on Has an account with Has an account with Arbitrator for Mediator for Family Member has relationship with Is a Member of Bar Association Was a member of Mediator for Arbitrator for Lectured on Was Arbitrator for Was Mediator for Mediator for Is a Member of Bar Association Is a member of Mediator for Is a member of Mediator for Is a Member of Bar Association Lectured on Mediator for Is a Member of Bar Association Is a Member of Bar Association DISCLOSURE/CONFLICT INFORMATION Firm Name Details MA Dominick & Dominick Incorporated Fidelity Investments Institutional Services AM MA Fidelity & Prentice Securities Florida Jewish Lawyers Guild NYC Small Claims Court NYC Small Claims Court NYCLA NYSE NYSE National Arbitration & Mediation Network of Bar Leaders New York County Lawyers Assn New York County Lawyers Association SIA US District Court Eastern District Past President 2/6/03 Speaker NAM Past President ABA, ATLA Compliance & Legal Division New York State New York State Trial Lawyers Association New York Supreme Court, Commercial Division State Bar Association Umbrella Organization of 38 Bars PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 09-03263 Jefferies & Company, Inc. vs. John P. Coen 12/09/2009 07-03138 Andrew Garrett, Inc. v. Lester Wackernah 09/15/2008 06-01810 Young Ran Kim and Soon Up Park v. Wachovia Securities, LLC. Prudential Equity Group, LLC et 05/30/2008 al 03-02452 Raymond David McElfish and McElfish & Associates v. Merrill Lynch, Pierce Fenner & Smith, Inc 06/14/2007 And Ilicia Silverman et al 05-02357 Brian Egan, Cathy Egan, et al. vs. Brookstreet Securities Corp., John Elwin, Jason Woessner 07/10/2006 and Stanley C. Brooks 03-05697 Steven Kevorkian vs Citigroup Global Markets, Inc., Sanford Weill, Michael Carpenter, et al consolidated with 03-06776 04/13/2006 Staff ID: Lest Page 17 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726342 FINRA Dispute Resolution Arbitrator ID: 02-06922 Steven P. Mednick vs. Kirlin Securities, Inc., David 0. Under and Anthony J. Kirincic 02/24/2006 02-05718 Bruce Whitman vs. CIBC World Markets Corp., Rolf W. Brunner and Ivan 0. Alfaro 10/21/2005 03-03229 Mary H. Coleman v. Michael D. Mathias, Interstate Financial Group. Inc., Gerald S. Berger, 03/02/2005 Gerald S. Berger, Inc. et al 03-07770 Hildegard Rimes and Ingrid Klute vs. Merrill Lynch Pierce Fenner & Smith Inc. and Marlyn 02/28/2005 Sinclair 04-04135 Jerry P. Cotrone vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Mijanou M. 02/22/2005 Spurdle 03-06098 Lucy Balestri vs. Merrill Lynch Pierce Fenner & Smith Inc. and Kurt E. Grimmelmann 02/11/2005 01-02014 Michael Moschillo v. Merrill Lynch, and Michael Maglio 08/27/2003 01-03876 Maya & Maya WIndmark Flower Corp and Pete Rodamis vs. Prudential Securities Incorporated, 12/18/2002 Chris Fasarakis, et al 01-04602 Susan Robinson vs. Weiss Peck & Greer, L.L.C. and Roger J. Weiss 10/22/2002 01-01419 Medusa Finanz Anstalt and F& MWL Enterprizes, Inc. v. Sam Ramirez Jr.& Ramirez & Co., Inc. 06/27/2002 00-02337 Glenn Michael Financial, Inc. v. Joseph Camey v.Glenn Michael Lanaia, Francine A. Lanaia, 06/18/2002 Nick Giannantonio etal 01.00941 Jeffrey Surovell v. U.S. Securities & Futures Corp., Robbert Van Batenburg and George 03/14/2002 Hopkinson 97-02663 Cuando, Ltd. vs. RAS Securities. Inc. vs. M.D. Sass Associates, Inc. and M.D. Sass Investors 06/22/1999 Services, Inc. 96-05676 PaineWebber, Inc. vs. Walter N. Iwachiw v. Kidder Peabody, John Carparelli, Fred Warren, 01/06/1999 Leonard Vinci, etal v. Iwachiw 97-00167 Maureen and Paul Belanger vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. 12/16/1997 93-04046 Harold Scharff vs. Merrill Lynch, Pierce, Fenner & Smith Inc. 06/20/1994 93-03116 Joseph and Linda Sisti v. Chesapeake Securities Research Corporation and David Basoco 03/18/1994 92-00097 Georgia Colonias vs. Prudential-Bathe Securities, Inc. and Gary Fox 03/25/1993 ARBITRATOR BACKGROUND INFORMATION Since 1959, I have been a member of the firm of Kahn and Horwitz, P.C., or its predecessor, Kahn and Horwitz. During this period of time. I have tried cases in the New York State Court system and at the American Arbitration Association. Since 1965, I have been on the Arbitration Panel at the American Arbitration Association. I have been a Small Claims Arbitrator since 1977. I am presently on the Arbitration and Mediation Panels at both the New York Stock Exchange and the NASD. My professional activities include lecturing at the New York County Lawyers' Association, New York State Trial Lawyers Association and the American Arbitration Association. I am a past chairman of the Arbitration Committee at New York County Lawyers' Association and am presently the chairman of the Arbitration Committee of the General Practice Section of the New York State Board Association. I have been and still am a member of the Board of Directors of a number of Bar Associations. I was a member of the Departmental Disciplinary Committee of the Appellate Division, First Department, and chairperson of the Hearing Panel. I am on the new panel of referees for Discipline for the Appellate Division. Staff ID: LeeC Page 18 of 75 Publicly Available Awards Section, Current as of 01/2012010 EFTA00726343 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD g: City/State/Country: Classification: FINRA Mediator: Chair Status: Qualified Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Mr. Zuhayr A. Moghrabi New York / NY I United States Public No ARBITRATOR Skills In Controversy: Account Related - Dividends, Employment - Breath of Contract, Employment - Commissions, Employment - Compensation, Employment - Partnerships, Employment - Promissory Notes, Employment - Training Contracts Skills in Securities: Annuities, Common Stock. Commodities Futures, Corporate Bonds, Government Securities, Limited Partnerships. Preferred Stock, Repurchase Agreements EMPLOYMENT Start Date End Date Firm Position 01/1998 01/2000 University of Sharjah Chancellor 01/1975 01/1978 Org. for Development Research VP & General Counsel 01/1973 Present New York Law School Adjunct Professor 01/1970 01/1971 Bums & Roe, Inc. Associate General Counsel 01/1970 Present Moghrabi & Larkin Partner 01/1968 01/1970 Union Carbide Corp. Manager 01/1954 01/1966 Mobil Oil Corp. Various TectilMngmt Positions EDUCATION Start Date End Date School Degree 09/1963 06/1967 New York Law School (Law Review) JD 09/1954 06/1956 Columbia University MA 09/1950 06/1953 University of Tulsa BS TRAINING Completed Description Details Firm/School Hours Location 01/2009 Expungement - 2008 FINRA 1 07/2007 Refresher Revised Code of NASD 2 online 01/2005 Arbitration Expungement online mini-course NASD 1.5 online 03/2002 New Chairperson NASD 11 New York, NY 12/2001 Training [NASD] New Panel Member NASD 11 New York, NY 01/1975 Training [NASD] Intro Securities Arbitrator AAA 8 Training Staff ID: LeeC Page 19 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726344 FINRA Dispute Resolution 01/1975 Non-Securities Related Training Civil Court 2 Arbitrator ID: DISCLOSURE/CONFLICT INFORMATION Type Firm Name Has an account with Charles Schwab Had an account with CIBC World Markets Corp. Arbitrator for NYSE Arbitrator for Is a Member of Bar Association Is a member of Is a member of Arbitrator for Is a Member of Bar Association Arbitrator for Has made a disclosure about Is a member of Is a Member of Bar Association Details CIBC Oppenheimer American Arbitration Association American Bar Association American Chemical Society American Chemical Society Civil Court, NYC District of Columbia International Arbitration Center International Lawyer-member of publications comm. NY Law School Alumni Assn.-director New York PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name 08-00640 Carol Dahl and Citicorp Investment Services vs. Michael M. Miley 06-02349 Miriam Nigohosian v. Merrill Lynch Pierce Fenner & Smith 01-05314 Wendy Diamond and Wendy Diamond TTEE, Global Liasons in Def. Ben. Plan v. Whale Securities Co., L.P., et al ARBITRATOR BACKGROUND INFORMATION Attorney and executive with extensive experience in law, business and finance. Close Date 09/14/2009 12/06/2007 02/17/2004 I started my professional career with Mobil Oil Corp., in 1954. as an engineer and occupied various positions in technical. planning, financial and management areas until 1966. From 1966 to 1970, I worked with Union Carbide Corp.. as manager of International Project Development which involved the development of profitable opportunities for investing and establishing industrial plants internationally; evaluation of specific areas relative to markets, economics and taxation; negotiations with foreign governments. foreign corporations and prospective partners with respect to contracts, licensing, technical service agreements and joint ventures; development of long range plans and programs. and new strategies for policy decisions, etc. I have had a law practice since 1970 in the following areas of the law: international business transactions, corporate law, contracts and commercial practice. including national and international litigation. I have also been teaching at New York Law School since 1973, as Adjunct Professor of Law in several international law courses. I do cover both a review of the securities laws and the extra-territorial application of U.S. securities laws. Staff ID: LeeC Page 20 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726345 FINRA Dispute Resolution Arbitrator tea I participate in or chair various national and international seminars on foreign ventures, international project financing, etc., and review manuscripts for publication for the international lawyer. I have written numerous book reviews on various legal topics including the Securities Arbitration Procedure Manual and International Securities Regulation. I have acted as arbitrator and chairman on numerous arbitration cases for the American Arbitration Association (and other bodies), including some major cases, for about twenty years. I am a member of the American Bar Association and the American Chemical Society. I received a BS in Petroleum Refining Engineering from the University of Tulsa (Oklahoma), MA in Chemical Engineering and Industrial Chemistry from Columbia University (New York) and JD from New York Law School (New York). Staff ID: leeC Page 21 of 75 Publicly Available Awards Section, Current as of 01120/2010 EFTA00726346 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Name: Mr. Richard Weinberger Arbitrator ID: CRD #: City/State/Country: Spring Valley / NY / United States Classification: FINRA Mediator: Chair Status: Qualified Public No ARBITRATOR Skills in Controversy: There are no skills in controversy information. Skills In Securities: Options Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. EMPLOYMENT Start Date End Date Firm Position 01/2006 Present Spirit of America Investment Fund, Inc. Independent Director 01/2005 Present Bullen, Stoll Bader & Nadler, P.C. Of Counsel 01/1977 12/2004 Balton, Stoll Bader & Nadler, P.C. Litigation Partner 01/1960 01/1974 Bronx County Assistant District Attorney EDUCATION Start Date End Date School Law School College of New York Degree 01/1963 01/1957 01/1967 Brooklyn 01/1963 The City JD LLB Completed Description TRAINING Details Finn/School Hours Location 09/2009 Motion to Dismiss FINRA 1 Training 06/2009 Mediation Training Securities Arb/Med New York Bar Assn. New York, NY Hot Topics 2009 05/2009 Mediation Training Advanced Commercial Mediation Division Supreme Court, Civil, Commerical Division 12/2008 Expungement - 2008 FINRA 1 Refresher 11/2008 Additional Securities 10th Annl Symp of Cardozo Law School 8 New York, NY Training The Cardozo Jml of Conf Resol 06/2008 Non-Securities Related Arbitration/Mediation City Bar Center for New York, NY Training Hot Topics 2008 CLE 04/2008 Mediation Training Advanced Training New York State Commerdal Div. Unified Court System Resolution 02/2008 Revised Code of FINRA 2 online Arbitration Staff ID: LeeC Page 22 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726347 FINRA Dispute Resolution 03/2007 Non-Securities Related Training 06/2006 Additional Securities Training 05/2006 Mediation Training 04/2006 Mediation Training Part 137 Atty-Client Fee Dispute Resolution Arb/Med Hot Topics Advanced Mediation New York State Unified Court System NYC Bar Securities NY Supreme Court Deconstruction of a Mediation Arbitrator ID: 09/2005 Mediation Training Abrams Mediation & 7 Negotiation 06/2005 Additional Securities Securities Arb/Med Training Hot Topics 10/2004 Non-Securities Related Securities Arbitration NYS Bar Assn. Training 08/2004 Expungement online mini-course NASD 1.5 online 10/2002 Additional Securities Arbitrator Interactive NYSE 3 New York, NY Training Workshop II 11/1996 Chairperson Securities NASD 7 New York, NY Training 12/1995 Employment Law NASD 4 New York, NY Training 01/1994 Participatory Arbitrator Discovery in NASD 2.5 New York, NY Skills Program Arbitration 12/1993 Participatory Arbitrator The Disclosure 2 New York, NY Skills Program Process 11/1993 Participatory Arbitrator Tools of the Arbitration NASD 16 New York. NY Skills Program Process 11/1993 Intro Securities Arbitrator NYSE 5 New York, NY Training 03/1993 Arbitrator Luncheon NASD New York, NY 11/1992 Intro Securities Arbitrator Agents of Fairness NASD New York, NY Training DISCLOSURE/CONFLICT INFORMATION Type Has an account with Is a Client Has an account with Has made a disclosure about Has an account with Arbitrator for Is a Member of Bar Association Arbitrator for Had an account with Is a member of Had Intro/Clearing Relationship With Has an account with Had an account with Staff ID: LeeC Finn Name Chase Investment Services Corp. David Lerner Accriates Ryan Beck & Co. Spirit of America Investment Fund Stifel Nicolus & Co. AM American Bar Association BBB David Lerner Associates, Inc. Departmental Disciplinary Commission Dirks & Co., Inc. ING Life Insurance & Annuity Company Merrill Lynch Pierce Fenner & Smith Page 23 of 75 Details Independent Director (fund managed by D. Lemer) Joint account with spouse Spouse was listed as JTWRS Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726348 FINRA Dispute Resolution Was Arbitrator for Licensed to Practice Is a Member of Bar Association Mediator for Mediator for Is a Member of Bar Association Mediator for Is a Member of Bar Association Mediator for Licensed to Practice Licensed to Practice Licensed to Practice Mediator for Licensed to Practice Licensed to Practice NYSE Arbitrator ID: All New York State Courts Bronx County Civil Branch Commercial Division Federal Council New York County New York State New York State Supreme Court Supreme Court of the U.S. U.S. Court of Appeals 2nd Circuit U.S. Court of Appeals 5th Circuit U.S. District Court Sourthem District New York U.S. District Court Southern & Eastern NY U.S. Tax Court PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/202010 Case ID Case Name Close Date 05-02909 HMO Capital Management v Thinkequity Partners, LLC 11/28/2006 04-08552 James Cappadona and Karen Cappadona vs. Citigroup Global Markets, Inc. 06/22/2006 02-02199 Refurbco, Inc. and Michael Esposito vs. Salomon Smith Barney Inc., k/n/a Citigroup Global 01/31/2006 Markets, Inc.. Stephen J. et.al 03.06665 Fred Kaplan SSB IRA Custodian and Arlene & Fred Kaplan JTWROS v. Prudential Equity Group. 04/07/2005 LLC f/k/a Prudential etal 03.00579 Joan Conway, individually and as Trustee for the Thomas A. Conway Trust u/t/d 3/11/98 v. CIBC 11/17/2004 Oppenheimer, et al 99-04353 Arnold H. Simon v. Hambrecht & Quist LLC and Michael Rice 09/18/2001 ARBITRATOR BACKGROUND INFORMATION Former Assistant District Attorney Bronx County, New York. From 1977 to present, I have been associated with Balton Stoll Bader &Nadler PC (formerly Balton Stoll & Idler). I am a former litigation partner and presently Of Counsel to the firm, effective Jan. 1.2005. I joined the firm as an associate and progressed to a position as a commercial litigation equity partner, monitoring the work of litigation associates, with continued responsibility concerning matters involving a wide variety of general, commercial, corporate, business, real estate and estate litigation, including trial and appellate practice in New York and US Federal Courts. In addition to participating in securities litigation and arbitration proceedings, I was and presently am on the panel of arbitrators for the New York Stock Exchange, NASD, Inc.. now known as FINRA, former arbitrator with the American Arbitration Association and the Better Business Bureau of Metropolitan New York, Inc. My professional activities include: New York State Bar Association, member of Committee On Alternatives to Court Resolution of Disputes, Member of House of Delegates, Member Committee on Professional Discipline; former Member of NYS App Div 1st Dept Disciplinary Comm., Member and former chairman of Joint Committee on Fee Disputes and Conciliation; Rockland County Bar Association member of attorney client fee dispute committee; NYC Bar Assoc Arbitration Committee; Mediator NYS Supreme Court, NY County Civil Branch, Commercial Division; Mediator, US District Court SDNY, Us Bankruptcy Court SDNY. Staff ID: LeeC Page 24 of 75 Publicly Available Awards Section, Current as of 0120/2010 EFTA00726349 FINRA Dispute Resolution Arbitrator ID. $taf ID: LeeC Page 25 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726350 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/1572010 ARBITRATOR Name: Mr. David I. Goldblatt Skills in Controversy: Arbitrator ID: Employment - Breach of Contract, Employment - Commissions, Employment - Compensation, Employment - CRD #: Discrim. Age, Employment - Discrim. Race, Employment - City/State/Country: New York / NY / United States Employment Discrimination, Employment - Libel or Slander on FormU-5, Employment - Libel or Slander, Employment - Partnerships, Employment - Promissory Notes, Employment - Retaliation, Employment - Wrongful Termination Classification: Public Skills In Securities: FINRA Mediator: No Common Stock, Limited Partnerships Chair Status: Qualified Statutory Discrimination Qualified - This arbitrator meets the conditions set forth in FINRA's Code of Arbitration Procedure to serve as the chairperson or sole arbitrator on a case involving a statutory discrimination claim. Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. EMPLOYMENT Start Date End Date Firm Position 05/1997 Present Retired not provided 01/1970 04/1997 Proskauer Rose Goetz et. Partner 08/1961 10/1970 Proskauer Rose Goetz et. Associate EDUCATION Start Date End Date School Degree 09/1958 09/1954 06/1961 Yale Law School 06/1958 Antioch College LLB BA Completed Description Details TRAINING Firm/School Hours Location 03/2009 Motion to Dismiss FINRA Training 01/2009 Expungement - 2008 FINRA 1 Refresher 03/2007 Revised Code of NASD 2 online Arbitration 08/2004 Expungement online mini-course NASD 1.5 online 03/1997 Mediation Training NYC 11/1996 Chairperson Securities NASD 7 New York, NY Training 06/1996 Intro Securities Arbitrator NASD 6.5 New York, NY Training Staff ID: LeeC Page 26 of 75 Publicly Available Awards Section. Current as of 01120/2010 EFTA00726351 FINRA Dispute Resolution 01/1992 Mediation Training Bar Association of the City of New York Arbitrator ID: New York, NY Type Has an account with Had an account with Arbitrator for Had an account with Is a Client Was a Client Is a Member of Bar Association DISCLOSURE/CONFLICT INFORMATION Firm Name Charles Schwab & Co., Inc. Merrill Lynch Pierce Fenner & Smith NYSE UBS Financial Services Inc. Details PaineWebber, Inc. (had) Bridgewater Advisors Inc Intergrated Resources, Inc. (was) New York PUBLICLY AVAILABLE AWARDS PubDefy Avaable Awards Section, Current as of 01/20/2010 Case ID Case Name Close Date 07-02493 Interactive Brokers LLC v. Lek Securities Corporation, Petra Trading Group LLC, Last Atlantis 10/28/2009 Capital Management, et.al. 06-02076 Eugene C. Ross v. Bear Steams & Co., Inc. 10/09/2009 08-01168 Robert Hwang vs. Stifel Nicolaus and Company. Inc. 04/08/2009 07-02659 Todd Meldrum v. TD Ameritrade, Inc. 03/12/2008 06-04084 Roy Budd vs. Citigroup Global Markets, Inc. 02/25/2008 07-01899 The Estate of Alastair John Stair v. PMG Securities Corporation and Matthew J. Ryan 11/07/2007 05-04473 Rita Fisher v. Fidelity Brokerage Services LLC 06/14/2006 05-04104 Katrina Schalensky v. Citigroup Global Markets (f/k/a Salomon Smith Barney) 02/23/2006 05-00449 Alice Kelly, Pearl Daniels, Phyllis Crank vs. Gilbert C. Vames, Jr. USAllianz Securities. Inc f/k/a 12/15/2005 LifeUSA Sec. 05-01444 J.B. Hanauer & Co. v. Paul Horvath 09/22/2005 00-02546 Max Fodiman, Bruce B. Fodiman, Fred B. Fodiman and Myra M. Fodiman v. David Lemer 09/09/2005 Associates, Inc. 04-02884 Ian Allena vs. Prudential Equities Group, LLC John S. O'Donnell and Mark Hyde 08/04/2005 04-04520 Alice Adjmi vs. Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. 05/26/2005 03-08775 Theresia S. Blair vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., John Ryan, 12/09/2004 David Nelson, etal 01-03313 Robert W. Lisnoff vs. Parker Financial Corp.. Jeffrey Gray, John Serkes and Keith Feldman 07/12/2002 00.04507 Dean Witter Reynolds, Inc. v. Joseph Amato. Michael Braccia, Daniel DelRosso, John A. 04/16/2002 Zadwydas, et al 01-00196 Francisco Pedros v. Gilford Securities, Gabriel Carino, Howard Perkins, III, and Chris Pomarico 04/02/2002 99-00472 Kathleen Yacoe-Hughes v. Janney Montgomery Scott, Inc. 02/17/2000 97-01783 Danny Chow v. Joseph Stevens & Co.. Schroder Wertheim & Co. and Steven Tabb 05/12/1998 96-01311 Milan L. Obradovich vs. Fidelity Brokerage Services, Inc. 05/23/1997 Staff ID: LeeC ARBITRATOR BACKGROUND INFORMATION Pape 27 of 75 Publicly Available Awards Section, Current as of 0120/2010 EFTA00726352 FINRA Dispute Resolution Arbantor ID: I am a 1958 graduate of Antioch College, where I majored in Business dministration/Accounting, and a 1961graduate of Yale Law School. where I was an editor of the Yale Law Journal. I joined Proskauer Rose LLP (then Proskauer Rose Goetz & Mendelsohn) in 1961, became a partner in 1970, and remained there until 1997, when I retired from the active practice of law. Throughout my career at Proskauer I was a member of the firm's Litigation Department, specializing in commercial and corporate litigation, principally civil. I handled a number of securities class actions, usually representing an accounting firm as defendant, SEC administrative proceedings against accountants, bankruptcy matters on behalf of debtors, employment disputes (representing the employer), patent, copyright and trademark matters, and a variety of other commercial matters. I have served as an arbitrator for the NASD and the New York Stock Exchange. as an arbitrator or mediator in court-mandated arbitrations or mediations and, through the Bar Association of the City of New York, as a mediator in lawyer-client disputes. CHAIRPERSON QUALIFICATIONS FOR STATUTORY EMPLOYMENT DISCRIMINATION CASES During the course of my 37 years as a practicing litigator, I handled several cases involving claims of employment discrimination. One involved alleged discrimination on the basis of race, and was tried to a conclusion. Two involved alleged discrimination on the basis of age. One of those was settled and the other dismissed on motion. I have also represented an employer in approximately 12 law suits or arbitration proceedings brought by present or former employees, where the claims were not based on discrimination but on alleged defamation, breath of contract, or other claims. I was in private practice with a firm of Proskauer Rose LLP, as an associate from 1961-1970 and as partner from 1970. Since May, 1997, I have been a retired partner of that firm. Staff ID: LeeC Page 28 of 75 Publicly Available Awards Section, Current as of 01120,2010 EFTA00726353 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Mitchell S. Friedman Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD City/State/Country: New Hyde Park / NY / United States Classification: Public Skills In Securities: FINRA Mediator: No There are no skills in security information. Chair Status: Qualified Statutory Discrimination Qualified - This arbitrator meets the conditions set forth in FINRA's Code of Arbitration Procedure to serve as the chairperson or sole arbitrator on a case involving a statutory discrimination claim. EMPLOYMENT Start Date End Date Firm Position 01/1996 Present NYS Off. of Temp./Disab. Assistance Admin. Law Judge 01/1994 01/1996 NYS Liquor Authority Senior Attorney 01/1991 01/1994 NYS Department of Labor Hearing Referee 01/1990 01/1991 Goldfarb & Goldfarb Associate 01/1987 01/1990 Franklin Rand Weiss, P.C. Associate 01/1985 01/1987 Lefrak Organzation Associate 01/1981 01/1985 Franklin Rand Weiss, P.C. Associate EDUCATION Start Date End Date School School of Law CUNY Degree JD BA 01/1978 01/1974 01/1981 St. John's Univ. 01/1978 Queens College Completed Description Details TRAINING Firm/School Hours Location 03/2009 Motion to Dismiss FINRA 1 01/2009 Training Expungement - 2008 FINRA 1 Refresher 10/2008 New Online Civility FINRA 1 online Training 03/2007 Revised Code of NASD 2 online Arbitration 08/2004 Expungement online mini-course NASD 1.5 online 10/1999 New Chairperson NASD 11 New York, NY Training [NASD] Staff ID: leeC Pape 29 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726354 FINRA Dispute Resolution 02/1996 Intro Securities Arbitrator Training Introductory Arbitrator Training Arbitrator ID: 7 New York, NY Tvae Has an account with Family Member has relationship with Family member had relationship with Arbitrator for Is a member of Is a Member of Bar Association Was Arbitrator for Family Member has relationship with DISCLOSURE/CONFLICT INFORMATION Firm Name Charles Schwab & Co., Inc. Morgan Stanley Smith Barney Citigroup Global Markets, Inc. NYC Small Claims Court NYS Administrative Law Judge Association New York State New York Stock Exchange Travelers Details Spouse has account Wife had account w/Salomon SSB Wife has account PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01120/2010 Case ID Case Name Close Date 07-02017 William J. Heffernan vs. S.W. Bach & Company, Scott Allan Shapiro, Christopher John Barletta, and Peter Miluk 02/04/2009 04-06761 Garrett Going v. Syndicated Capital, Inc., Lloyd McAdams and Faith Lee vs. Robert Gillin & Brian 02/03/2009 P. King 04-08460 Matthew J. Trachtenberg vs. Bear Stearns & Co. Inc. 06/28/2006 05-01437 Brij Mittel and Amita Mittal v. Raymond James Financial Services, Inc. 04/21/2006 03-05313 Reva Ostrow vs Merrill Lynch, Pierce, Fenner & Smith, Inc., Citigroup Global Markets Inc. and 07/15/2005 Sandy Toochin 03-07176 Eric L. Goldstein vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Henry M. Blodget 05/20/2005 03-02754 Lilian Heidenberg Reitman vs. UBS Financial Services. Inc. f/k/a UBS PaineWebber, Inc. and 09/23/2004 Isadore Friedman 01-06828 Valgest vs. Weatherly Securities Corporation and CIBC Oppenheimer 05/28/2004 01-01611 Berry-Shino Securities, Inc. v. David Monaco and George Munch 02/10/2003 96-02452 Robert K. Smith vs. Ronald Heineman and Bear Steams Securities Corp. 11/26/2002 00-04410 William Roncaioli and Anne M. Roncaioli v. Investec Ernst & Company, Royce Investment 11/20/2002 Group, Inc. and Joseph Rudy 01-03212 Maria Cicchino vs. J.P. Turner & Company L.L.C.. Lenard Simon and Rocko Guidicipietro 07/26/2002 99.01530 Peter Norberto and Mary Sue Norberto v. Millennium Securities Corp. and Kenneth Fuller 08/14/2000 98-00644 Eugene Lugo vs. The Harriman Group, Inc. and Joseph Giannuzzi 03/18/1999 ARBITRATOR BACKGROUND INFORMATION Since December 1991. I have served as an Administrative Law Judge (AU) with various agencies of the State of New York. I have also worked as a prosecutor in the Counsers Office for the NYS Liquor Authority. My duties as an AU include eliciting and reviewing the facts presented by parties at hearings and formulating a written opinion in accordance with relevant law, rules and regulations. At the Unemployment Insurance Appeal Board, my duties required me to review other AU decisions on an Staff ID: LeeC Page 30 of 75 Publicly Available Awards Section, Current as of 0120/2010 EFTA00726355 FINRA Dispute Resolution Arbitrator ID: appellate level to determine if an appropriate decision was issued at the initial hearing level. Previously, I conducted hearings for the New York City Taxi and Limousine Commission. I volunteer as an arbitrator for the New York City Civil Court-Small Claims Part. My private practice focused on real estate and general civil practice matters. CHAIRPERSON QUALIFICATIONS FOR STATUTORY EMPLOYMENT DISCRIMINATION CASES 1/96 to present am an Administrative Law Judge for the State of New York. 12/91 - 5/94 Administrative Law Judge for the NYS Unemployment Insurance Appeal Board (appellate level). 1989 - present serve as an arbitrator for the NYC Civil Court - Small Claims Part. My experience as an Administrative Law Judge and in particular my time with the UIAB makes me familiar with Labor Law and employment issues. I have been a practicing attorney in this state since 1982. Staff ID: LeeC Page 31 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726356 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Ms. Dora M. Lassinger Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD #: City/State/Country: East Rockaway / NY / United States Classification: Public Skills in Securities: FINRA Mediator: No There are no skills in security information. Chair Status: None EMPLOYMENT Start Date End Date Finn Position 01/1981 Present Self-employed Attorney 01/1981 01/1981 Law Office - Maurice Gohenthal Attorney 01/1979 01/1980 U.S. Virgin Islands (Gov't) Attorney General 01/1978 01/1979 Mackey & Klein Attorney 01/1977 01/1978 Law Office of Stuart Law Attorney Start Date End Date School EDUCATION University Degree JD BA 01/1974 01/1970 01/1977 George Washington 01/1974 Clark University TRAINING Completed Description Details Firm/School Hours Location 11/2009 New Chairperson FINRA 9 online Training [FINRA) 11/2009 Revised Code of FINRA 2 online 03/2009 Arbitration Motion to Dismiss FINRA Training 03/2009 Expungement online revised - 3/2009 FINRA 1.5 online 05/2008 Revised Code of FINRA 2 online Arbitration 10/2005 Expungement online mini-course NASD 1.5 online 12/1992 Served as Arbitrator NASD 1/1/90-12/31/92 Tvoe Staff ID: LeeC DISCLOSURE/CONFLICT INFORMATION Firm Name Details. Page 32 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726357 FINRA Dispute Resolution Has an account with Had an account with Has an account with Had an account with Initiated/defended legal action against Had an account with Arbitrator for Family member had relationship with Is Shareholder of Has an account with Had an account with Banc of America Investment Services, I Dreyfus Service Corporation Fidelity Investments Institutional Srvcs Grunter & Co., L.L.C. Prudential Equity Group, LLC Quick and Reilly, Inc. NYSE Prudential Equity Group, LLC Arbitrator ID: settled 1985 Parents named Prudential in civil suit 1985/Setl'd Currently holds shares of: VERIZON Communications Janus TIAA-CREF (NYS College Savings Program) PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name Close Date 06-02114 Michael M. Miley vs. Citicorp Investment Services and Carol Dahl 06/20/2007 06-03327 Safa Abdulrahman vs. Citicorp Investment Services and Achille Raspantini 05/10/2007 99-04582 Ronald C. DiMaggio vs. Credit Lyonnais Securities, Inc. and Doug Stone 05/22/2003 01-06533 Jonathan Lesnik vs. Richard W. Stopa and Frank DePasquale 01/14/2003 98-01457 Wiliam J. Sarich vs. Steven Williams, Westfield Financial Corp., Dickinson & Co., Robert Todd 09/11/2000 Finanical Corp, et al 94-05540 Graham G. Sampson v. Stratton Oakmont, Inc. 07/03/1996 95-01803 Bush & Bush Partners vs. Franklin Utermehle & Prudential Securities, Inc. 02/28/1996 93-03975 Edith Margolies vs. Merrill Lynch Pierce Fenner & Smith Inc. 08/22/1995 92-04362 George Levenderis vs. Frank DeFrancisco & Torn Reichert 07/06/1993 92-01835 Alfred Mannella vs. Shearson Lehman Brothers, Inc., Erwin J. Riven and Steven Knapp 06/14/1993 92-02337 Isaac M. Diller vs. Smith Barney, Harris Upham & Co. Inc. and Mark Martino 02/23/1993 91-02884 William Yakal vs. Christopher Papa, Allen G. Snider and Painewebber, Inc. 04/01/1992 91-02475 Peter Russell Certo, Sr. administrator and sole beneficiary of the Estate of Florence Certo vs. 03/09/1992 Phoenix Equity Planning 90-01962 Dong Ku Lee vs Wellshire Securities, Inc., William Ross, George Cooper and Michael Howard 06/07/1991 89-03601 Arthur Levine et al vs Shearson Lehman Hutton, Inc. 08/15/1990 88-03659 Frank J. Giaquinto vs. Dale Yeakel and John Vega 10/27/1989 ARBITRATOR BACKGROUND INFORMATION Since 1981, I have been self-employed. From 1981 to 1989, the majority of my practice consisted of litigation, both civil and criminal. Since 1989, my practice has consisted mostly of appellate work, and service as an arbitrator or hearing officer in a variety of forums. A small part of my practice is devoted to residential real estate, estate and education matters. Since 1988, I have served as an impartial hearing officer for the New York City Board of Education. Staff ID: LeeC Page 33 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726358 FINRA Dispute Resolution Arbitrator ID. From 1977 (when I graduated law school) to 1981, I worked at two general practice law firms; and then for the Government of the Virgin Islands, as a prosecutor. During law school, I worked as a law clerk in the General Counsel's Office of the NASD in Washington. DC Staff ID. LeeC Page 34 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726359 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator: Chair Status: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Mr. Harold Webb New York / NY / United States Public No Qualified ARBITRATOR Skills in Controversy: Account Related - Dividends, Trading Disputes - Mark-ups Skills in Securities: Annuities, Common Stock. Corporate Bonds, Hedge Fund, Limited Partnerships, Mutual Funds, Municipal Bonds, Options, Private Equities, Preferred Stock. Real Estate Investment Trust, Stock Index Futures, Warrants/Rights Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. EMPLOYMENT Start Date End Date Position 12/2002 Present Retired 07/1995 12/2002 City Department of Health Administrative Law Judge 07/1994 07/1995 Semi-retired 06/1989 06/1994 US Attorneys Office Miami Assistant US Attorney 01/1971 01/1989 US Department of Justice Trial Attorney 01/1969 01/1970 Sands, Geller & Webb Attorney 01/1968 01/1969 Put & Call Brokers Association Executive Director 01/1960 01/1968 US Securities & Exchange Commission Enforcement Attorney 01/1958 01/1959 National Labor Relations Board Legal Assistant/Attorney EDUCATION Start Date End Date School Dearee 01/1983 01/1987 College for Financial Planning Certificate 01/1956 01/1959 George Washington University LLB 01/1949 01/1953 University of Alabama BS Business Administration TRAINING Completed Description Details Finn/School Hours Location 03/2009 Motion to Dismiss FINRA 1 12/2008 Training Expungement - 2008 FINRA 1 03/2007 Refresher Revised Code of NASD 2 online 12/2004 Arbitration Expungement online mini-course NASD 1.5 online Staff ID: LeeC Page 35 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726360 FINRA Dispute Resolution 06/1999 Non-Securities Related Additional Arbitration Training Training 05/1999 Chairperson Securities NASD Training 06/1998 Additional Securities Association Bar of Training NYC- Securities 10/1995 Intro Securities Arbitrator Introductory Arbitrator Training Training 06/1990 Mediation Training US Department of Justice 01/1959 Employment Law George Training Washington/Labor 7 2.4 7 Arbitrator ID: Tvoe Has an account with Initiated/defended legal action against Had an account with Had an account with Had an account with Had an account with Was Arbitrator for Had an account with Was a Member of Bar Association Is a Member of Bar Association Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Was a Member of Bar Association Has made a disclosure about Initiated/defended legal action against DISCLOSURE/CONFLICT INFORMATION Firm Name Fidelity Investments Morgan Stanley & Co., Incorporated Ameritrade Brown & Co. Charles Schwab & Co., Inc. Merrill Lynch NYSE TD Waterhouse Investor Services, Inc. Details Morgan Stanley/DWR-decision in favor of clmnt-NYSE District of Columbia Federal Gruntal & Co., Inc. (settled) Haight & Co. Inc. 1960's while at the SEC Lombard & Co. 1960's while at the SEC New York Voluntarily permitted CFP license to lapse Walston & Co. (1969-1970 settled) PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name 07-01980 GunnAllen Financial v. Andrew Tressler 06-00242 Dr. James J. Hain. vs. Joseph Stevens & Company 04-08270 L.H. Ross & Company, Inc. vs. Gerald R. Sharpe, Jr., Nicholas D'Amico, Joseph Carrara and Dawn Sharpe Close Date 03/27/2008 11/27/2006 07/25/2006 Staff ID: LeeC Page 36 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726361 FINRA Dispute Resolution Arbitrator ID: 04-02411 Mark and Bertha Kapetanakis vs. Merrill Lynch. Pierce, Fenner & Smith, Inc., Rittenhouse 05/01/2006 Financial Services, et al. 02-02465 Dorothy Harmonay. TTEE/Trust for Benefit of S. Leo Harmonay vs. James J. Montalto, et.al v. S. 06/24/2004 Leon Harmonay 01-00520 Barbara Carpe v. Jerome Rubin, Matthew Halpert allga Jeffrey Halpert, and Alan Halpert 06/24/2003 00-02409 Wall Street Access v. Jacob Newman 12/26/2000 99-04089 Casey Baum vs. DU Direct, Inc. 09/07/2000 97-01686 Lawrence Mendosa v. Cohig & Associates, Inc. and Jack Emerick 03/02/1998 ARBITRATOR BACKGROUND INFORMATION From 1995 through 2002. I was employed as an Administrative Law Judge, by the City of New York, on a per-diem basis. I primarily adjudicated health and safety code infractions. As a semi-retired attorney since 1994, I have handled some legal matters on a pro-bono basis. In the recent past, I was involved as co-counsel in a securities class action case, as well as claimant's counsel for two arbitration matters pertaining to broker-dealers. From 1989 to 1994, I was an Assistant U.S. Attorney in Miami. specializing in the enforcement of civil judgements and fines imposed in criminal cases. During the period 1971 to 1989. I was employed by the U.S. Department of Justice in Washington D.C., as a trial attorney. I worked on a variety of cases and matters relating to organized crime, bank and securities fraud, foreign agents, asset forfeiture and the collection of criminal fines. In the period 1968 to 1970. I was employed in the options industry, working for a trade association as executive director and subsequently, as an attorney specializing in securities litigation. From 1960 to 1968, I was an attorney with the U.S. Securities & Exchange Commission, in Washington, D.C. I specialized in investigating and litigating broker-dealer cases. I have an undergraduate degree in Business from the University of Alabama (1953). And a law degree from the George Washington University (1959). I also completed all course and examination requirements from the College of Financial Planning in 1987. As a result, I obtained a Certified Financial Planning (CFP) designation, which lapsed through non-use. From 1953 to 1955, I served as an Army Lieutenant and was honorably discharged. Staff ID: LeeC Pape 37 of 75 Publicly Avaiable AwNds Section. Current as of 01/20/2010 EFTA00726362 FINRA Dispute Resolution Arbitrator ID: Classification: Public FINRA Mediator: Yes Chair Status: None Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Richard B. Dannenberg Skills in Controversy: Arbitrator ID: Account Related - Dividends, Account Related - Margin Calls, CRD #: Account Related - Transfer, Executions - Execution Price, Executions - Limit v. Market Order, Employment - Breach of City/State/Country: Purchase / NY / United States Contract, Employment - Discrim. Age, Employment - Discrim. Disability, Employment - Sexual Harassment, Employment - Wrongful Termination, Other - Underwriting. Trading Disputes - Stock Loans Skills in Securities: Annuities, Commodities Futures, Limited Partnerships, Mutual Funds, Municipal Bonds EMPLOYMENT Start Date End Date Finn Position 06/2005 Present Pace Law School Adjunct Professor 01/1987 08/2008 Lowey Dannenberg Bemporad & Selinger, PC Principal/Counsel 01/1978 01/1987 Lowey Dannenberg & Burton L. Knapp Partner 01/1974 01/1978 Lipper Lowey Dannenberg & Burton L. Knapp Partner 01/1970 01/1974 Lipper Lowey & Dannenberg Partner 09/1969 05/1970 R. Gilder & Company Administrative Officer 01/1968 01/1970 Lipper Lowey Dannenberg & Katcher Partner 01/1959 01/1968 Lipper Shinn Keeley & Dannenberg Partner 06/1955 12/1958 Lipper Shinn & Keeley Associate Attorney EDUCATION Start Date End Date School flans 09/1952 06/1955 Yale Law School LLB 09/1948 06/1952 Duke University BA TRAINING Completed Description Details Firm/School Hours Location 05/2009 Expungement - 2008 FINRA 1 03/2009 Refresher Motion to Dismiss FINRA 1.5 online 03/2007 Training Revised Code of NASD 2 online 03/2005 Arbitration Expungement online mini-course NASD 1.5 online 01/2005 New Panel Member NASD 11 New York, NY Training [NASD) Staff ID: LeeC Page 38 of 75 Publicly Available Awards Section. Current as of 01120/2010 EFTA00726363 FINRA Dispute Resolution 01/1996 Mediation Training US District Court Arbitrator ID: 16 New York, NY Tvoe Has an account with Arbitrator for Was a Member of Bar Association Had an account with Had an account with Investor complaint/arbitration/suit Was a Member of Bar Association Had an account with Was a Member of Bar Association Had an account with Had an account with Initiated/defended legal action against Was a Client Had an account with Had an account with Was a Member of Bar Association Was Arbitrator for Licensed to Practice Law in Had an account with Is a member of Initiated/defended legal action against Was a member of Mediator for Had an account with Was a Member of Bar Association Was a member of Has made a disclosure about DISCLOSURE/CONFLICT INFORMATION Firm Name Details Citigroup Global Markets, Inc. American Arbitration Association American Bar Association Bear Steams & Co., Inc. CFSB Citigroup City of New York Fahnestodc & Co., Inc. Federal Bar Council First Fidelity First Union Gilder Gagnon Howe & Co. Gilder Gagnon Howe & Co., LLC Gilder Gagnon Howe & Co., LLC Merrill Lynch NY State Bar Association NYSE New York Oppenheimer & Co. Pace Law School Software Toolworks The Westchester Arts Council USDC Southern District of New York Wachovia Securities Westchester County Bar Association Westchester Philharmonic Smith Bamey closed 2005 (dosed) 1990-2003 ceased over three years ago retired Pace Investor Rights Project Over 10 years ago Trustee (2000-2008) Certified (1996 - present) Director and Treasurer Former law firm brought action ag b/ds '68-'04 Case ID Case Name Staff ID: LeeC PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01120/2010 Page 39 of 75 Close Date Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726364 FINRA Dispute Resolution Arbitrator ID: There is no award information. ARBITRATOR BACKGROUND INFORMATION Admitted to the New York Bar since December 1955. Assisted in 1968 in the formation of the predecessor firm to Gilder Gagnon Howe & Company, LLC, presently at 1775 Broadway, N.Y. ("Gilder), a registered broker-dealer and member of the New York Stock Exchange. I and my law firm acted as outside counsel to Gilder for more than 36 years, principally for regulatory matters (ceased in 2004). For more than 40 years engaged in complex litigation principally involving federal and state securities matters. Totally familiar with broker-dealer law, and familiar with the 1933 Act, the 1934 Act and the two 1940's Acts. In the 1960's, co-lead counsel before Judge Bonsai in the Texas Gulf Suphur class actions. Argued and prosecuted Deutschman v. Beneficial Finance, involving the right of purchasers of options to prosecute a class action under Section 10(b) and Rule 10b-5 of the 1934 Act. Lead counsel before Judge Vaughn Walker of the Northern District of California in the Oracle class action. Have prosecuted numerous civil actions in Delaware Chancery Court involving issues of corporate governance. Since mid-1996, have served as a mediator in the federal mediation program for the Southern District of New York, administered by George O'Malley. Esq.. Presently, an adjunct professor at Pace Law School, teaching and acting as a faculty supervisor for the securities arbitration clinic of the John Jay Legal Services, Inc., working with Professors Barbara Black and Jill Gross. Have participated actively or as supervising counsel in a dozen or more arbitrations before the NASD on behalf of claimants or respondents (mostly respondents). Presently serve as a member of the advisory counsel of Par.* Investor Rights Project of Pace Law School. From 1968 to 1970, I was an allied member of the New York Stock Exchange and a principal of R. Gilder & Company, Inc., a predecessor firm to Gilder Gagnon Howe & Co., LLC, and for approximately two years,worked at the firm as chief administrator (having left my law practice). Presently, since January 5, 2004, acting as counsel to the law firm of Lawey Dannenberg Bemporad & Selinger, P.C., White Plains, NY, with which finn,or its predecessor firms I was previously associated for more than 49 years, either as an associate, partner or principal. See supplement to Question 7 for the names of the predecessor firms. Other. Present outside interests: Trustee of the Westchester Arts Council and an Executive Committee member and on its Finance Committee. Formerly, ad director and Treasurer of the Westchester Philharmonic. Staff ID: LeeC Page 40 of 75 Publicly Available Awards Section, Current as of 01O0/2010 EFTA00726365 FINRA Dispute Resolution Arbitrator ID: Classification: Public FINRA Mediator. No Chair Status: Qualified Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Ms. Pamela H. Roderick Skills in Controversy: Arbitrator ID: Account Related - Dividends. Account Related - Margin Calls, CRD tr: Account Related - Transfer. Executions - Execution Price, Executions - Limit v. Market Order, Employment - Breach of City/State/Country: Brooklyn / NY / United States Contract, Employment - Commissions, Employment - Compensation, Employment - Discrim. Age, Employment - Discrim. Disability, Employment - Discrim. Gender, Employment - Discrim. National Origin. Employment - Discrim. Race, Employment - Discrim. Religion, Employment - Employment Discrimination, Employment - Discrim. Sexual Orientation, Employment - Retaliation, Employment - Wrongful Termination, Other - Clearing Disputes, Other - Recruitment Disputes. Other - Underwriting. Trading Disputes - Mark-ups, Trading Disputes - Other Floor Trading. Trading Disputes - Stock Loans Skills in Securities: Common Stock, Corporate Bonds. Fannie Mae. Freddie Macs. Ginnie Maes, Government Securities, Hedge Fund, Limited Partnerships, Mutual Funds, Municipal Bonds, Municipal Bond Funds, Options, Private Equities, Preferred Stock, Real Estate Investment Trust, Structured Products, Warrants/Rights EMPLOYMENT Start Date End Date Firm Position 11/1988 Present Self-Employed Freelance Writer 01/1986 11/1988 Albert Frank-Guenther Law Account Executive 03/1985 12/1985 Investment Dealers Digest Writer 03/1984 03/1985 CBS Radio Network Editor 11/1981 10/1982 YVMER/Net New England Radio Reporter 06/1979 07/1981 WINS Radio Reporter 05/1976 12/1978 WHN Radio News Assistant 01/1971 08/1976 State Senator Roy M. Goodman Press Secretary 07/1968 01/1971 Fairchild Publications Copywriter, Reporter 01/1968 07/1968 Office of Mayor Research Assistant 01/1967 12/1967 Central Intelligence Agency Junior Analyst EDUCATION Start Date End Date School 21EILTZ 09/1962 06/1966 Wheaton College BA Government Completed Description Staff ID: LeeC TRAINING Details Firm/School, Hours Location Page 41 of 75 Publicly Available Awards Section, Current as of 01120/2010 EFTA00726366 FINRA Dispute Resolution Arbitrator ID: 04/2009 Motion to Dismiss FINRA 1 Training 01/2009 Expungement - 2008 FINRA 1 online Refresher 04/2007 Revised Code of NASD 2 online Arbitration 01/2006 Direct Communication NASD 1 online Rule 08/2004 Expungement online mini-course NASD 1.5 online 03/2002 New Chairperson NASD 11 New York, NY Training [NASD) 03/1997 Employment Law NASD 3 New York, NY Training 11/1994 Participatory Arbitrator NASD Discovery in 2.5 New York, NY Skills Program Arbitration 10/1993 Arbitrator Luncheon NASD Pro se Parties 2.5 New York, NY 08/1993 Arbitrator Luncheon NASD New York, NY 04/1993 Employment Law NASD 2 New York, NY Training 09/1992 Intro Securities Arbitrator NASD 3 New York, NY Training DISCLOSURE/CONFLICT INFORMATION Tvne Firm Name Details Has an account with Neuberger Berman Management Inc. Had an account with Has an account with Has an account with Had an account with Has an account with Neuberger Berman (has) Dreyfus Service Corp. (had) Janus Funds Northeast Investors Trust (has) Strong Cap. Management (had) Vanguard (has) PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 08-03999 Louis Basel and Penelope Basel vs. Wachovia Securities LLC and Neophytos Ganiaris 06/19/2009 07-00476 Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator v. Great Eastern 04/29/2008 Securities, Inc., et al. 07-00312 Harold I. Geringer & Jeff G. Mallouk for Estate of George Mallouk v. Citigroup Global Markets, 11/09/2007 Inc. and Otto John Betz 06-02193 Jan Forysiak v. Scottrade, Inc. and Dennis Doherty 05/03/2007 05-03301 John Chen v Citigroup Global Markets, Inc 05/24/2006 05-00837 Henry Schiff and Joan Schiff vs. Citigroup Global Markets, Inc., and Bear, Steams & Co.. Inc. 03/31/2006 03-04316 Victor J. Closi and Phyllis A. Closi v. Bernard McGee d/b/a McGee Financial Services, Royal 08/12/2004 Allince Associates, Inc,etal 01-01865 Philip A. DeVincentis v. Dalton Kent Securities Group, Inc., and Bret Grebow 06/19/2003 01-00657 James S. Turner v. Citigroup, Inc. and Citicorp Securities Services, Inc. 01/28/2003 01-03148 Wiliam F. Reichenbach & Joan D. Reichenbach v. A.G. Edwards & Sons, INc. 01/09/2002 Staff ID: LeeC Pape 42 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726367 FINRA Dispute Resolution Arbitrator ID. 01-02546 Andres Ordonez v. E'Trade Securities. Inc. 11/01/2001 98-02030 Eugene C. Partyka vs. Martial Chiong 02/24/1999 96-05292 Voula and Constantine Salonitis vs. State Street Capital Markets, Inc. and George Christodoulou 04/29/1998 97-00546 Letitia Fabiani vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John A. Busco 11/14/1997 95-00409 Harold E. Bluestone v. Douglas Getzke 04/30/1997 95-05501 Ruth W. Rosenfield v. A.J. Michaels & Co., Ltd., Robert Murphy and A. Korogodon 03/06/1997 94-04974 Richard A. Sattler and Patricia Sattler JTTEN vs. Charles Parisio 05/14/1996 94-01664 Omar Aslaoui v. Shearson Lehman Brothers 11/27/1995 94-00747 Colesi Limited vs. Dean Witter Reynolds. Inc. 06/20/1995 92-04018 Barry Kazatsky and Beverly Kalisher vs. Jerome Glickman, Bear Stearns & Co., Inc. and Cowen 03/01/1994 & Co.. 91-02967 Arcadio Casillas vs. Whale Securities Co. and Cowen and Company 02/10/1994 92-03573 Gayle E. Brookfield vs. Joe Vazza, David Sims. Michael Zirpolo, Fred Mitchell & Merrill Lynch 09/09/1993 Pierce Fenner & Smith 92-02715 Eugene Koalkin vs. Prudential Securities. Inc. and Selig Ratchick 08/04/1993 92-00606 Gary Loupassakis and Joyce Loupassakis vs. Prudential-Bache Securities. Inc.. Jeffrey Moruzzi and Nunzio Garzino 03/19/1993 91-03843 Patricia Gennarelli vs. Fahnestock & Co. Inc. and Marc Andor Menton 12/22/1992 92-00243 Diane L. Errickson vs. Shearson Lehman Brothers. Inc. 09/03/1992 ARBITRATOR BACKGROUND INFORMATION As a freelance writer specializing in finance and business. I have written about issues as diverse as private placements, brokers' ethics, vulture funds, international joint ventures and market regulation for publications covering business finance, asset management, global investing and the securities markets. I also work as an editor, writer and public relations/marketing consultant for various financial, business and education projects, such as initial public offerings, new business development, annual reports, promotional brochures, direct mail and media relations. My background is in news, business journalism and government. After majoring in government at Wneaton College in Massachusetts, I went to Washington. DC, spent one year analyzing data on Chinese economics for the CIA, then fled back to New York. After a few months of research for Mayor John Lindsay's speech writer. I went to work in business journalism for Fairchild Publications. Almost three years later, I was lured back into government by a State Senator for whom I had done volunteer work and who wanted me to set up a constituent service office. After six years as an ombudsman, community liaison and then press secretary. I veered into news radio and spent many years in broadcasting, both on the air and behind the scenes. Eventually I returned to the written word, where I have remained. Staff ID. LeeC Page 43 of 75 Publicly Available Awards Sect.on. Current as of 01/20/2010 EFTA00726368 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Ms. Alice J. P. Lee-Getman Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD #: City/State/Country: New York / NY / United States Classification: Public Skills in Securities: FINRA Mediator: No There are no skills in security information. Chair Status: None EMPLOYMENT Start Date End Date Firm Position 08/2005 03/2007 AMEX/RSM McGladrey Manager 01/2004 01/2005 Consulting Various 05/2003 10/2003 PSCH, Inc. Director of Accounting 01/2002 Present Arbitrator/Consulting Accountant Various Positions 05/1999 01/2002 Cosmopolitan Gem Corporation Director of Accounting 09/1997 04/1999 Brenton International Inc. Controller 07/1995 01/1996 Names For Dames Director Accounting 07/1994 05/1995 Philip Whitney Controller 03/1993 07/1994 Nakash Brothers Realty Controller 03/1991 01/1993 Russ Togs, Inc. Assistant Controller 11/1989 03/1991 Unity Healthcare Holding Assistant to VP 06/1986 11/1989 Global Technology Group Accounting Manager EDUCATION Start Date End Date School Degree 08/1983 06/1986 Wagner College MBA Management 09/1969 06/1974 Tamkang University BBA Accounting 09/1963 06/1969 Taoyuan High School not provided TRAINING Completed Description Details Finn/School Hours Location 01/2009 Expungement - 2008 FINRA 1 Refresher 07/2007 Revised Code of NASD 2 online Arbitration 12/2004 Expungement online NASD 1.5 online mini-course Staff ID: LeeC Page 44 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726369 FIRM Dispute Resolution Arbitrator ID: 09/1996 Intro Securities Arbitrator NASD 7 New York, NY Training DISCLOSURE/CONFLICT INFORMATION Type Firm Name Details Has an account with Charles Schwab & Co., Inc. Charles Schwab & Company, Inc. Has an account with TD Waterhouse Investor Services, Inc. TD Waterhouse PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 08-03221 Song Sop Choe vs. Fordham Financial Management, Inc. 04/24/2009 05-02827 CIBC World Markets Corporation v. Michael Sassano 11/17/2008 04-00465 Herbert and Rose Lieberman vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Steven N. 02/18/2005 Jaenichen 03-01215 Magda Bondy and Sandra Peters vs. Salomon Smith Barney and David Yvars 03/05/2004 01-00374 Robert Ehrenspeck, Ronald Kilbride, et al v. Dean Petkanas, Frank Fackovec, Michael Kooyman, et al 05/13/2003 01-03436 Richard Martens v. Cory D. Lev and Salomon Smith Barney 04/03/2002 99-04549 Yochanan Kalilmi Youssian vs. Intercontinental Equities, Inc Thomas P. Knight and Roger L. 12/03/2001 Smolik ARBITRATOR BACKGROUND INFORMATION With more than thirteen years of increasing responsibilities in both large and small corporate environments, I have developed a diversified background with extensive experience in business operational management and financial reporting, including G.A.A.P compliance and general accounting skills. I have had hands-on experience in designing financial reporting systems, implementing automated accounting systems, and devising internal control systems. In addition, I have interacted directly with banking and lending institutions and managed treasury functions during times of economical stress. Staff ID: LeeC Page 45 of 75 Publicly Available Awards Section, Current as of 01/202010 EFTA00726370 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. John G. Kennedy Skills in Controversy: Arbitrator ID: Employment - Compensation, Employment - Wrongful Termination CRIO C i t y / S t e t e / C o u n t r y : Bayville NY / United States Classification: Public Skills in Securities: FINRA Mediator: No There are no skills in security information. Chair Status: None EMPLOYMENT Start Date End Date Firm Position 07/2002 Present Village of Bayville Associate Village Justice 07/2002 Present John G. Kennedy, P.C. Independent Arbitrator 10/2000 07/2002 Unemployed 03/1996 10/2000 Capetola & Doddato, P.C. Counsel 01/1991 03/1996 Unemployed 06/1986 06/1988 Unemployed 09/1977 06/1986 LIU, CW Post College Adjunct Professor 01/1958 06/2002 Nassau County Police Department Deputy Commissioner of Police EDUCATION Start Date End Date School Degree 06/1988 01/1991 Hofstra University, School of Law JD 06/1976 10/1977 LIU, CW Post College MA Professional Studies 06/1972 02/1976 LW, CW Post College BA 01/1968 06/1972 Nassau Community College AAS Completed Description TRAINING Details Finn/School Hours Location 01/2009 Expungement - 2008 FINRA 1 Refresher 10/2007 Non-Securities Related Labor Arbitrator II AAA Training 07/2007 Revised Code of NASD 2 online Arbitration 06/2005 New Chairperson NASD 11 online Training [NASD] 08/2004 Expungement online mini-course NASD 1.5 online Staff ID: LeeC Page 46 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726371 FINRA Dispute Resolution 09/2003 New Panel Member NASD Training [NASD] Arbitrator ID: 11 Boca Raton, FL Type Has an account with Has an account with Has an account with Has an account with Has an account with Has an account with Has an account with Arbitrator for Is a member of Arbitrator for Is a member of Is a member of Is a member of Is a member of Is a member of Is a Member of Bar Association Is a member of Is a member of Is a member of Is a Member of Bar Association Arbitrator for Was Arbitrator for Is a member of Is a member of Arbitrator for Is a Member of Bar Association Is a Member of Bar Association DISCLOSURE/CONFLICT INFORMATION Finn Name BNYHamilton Distributors, Inc. Citistreet Equities LIc HSBC Brokerage (USA) Inc. Northwestern Mutual Investment Services. Llc Nuveen Investments, LIc T. Rowe Price Investment Services, Inc. Treasury Direct American Arbitration Association Detectives Association Federal Mediation & Concilation Service Friendly Sons of St. Patrick Global Arbitration Mediation Association Industrial Relations Research Association International Association of Chiefs of Police NCPD Superior Officers Association Nassau County Nassau County Magistrates Association Nassau Health Care Corporation National Arbitration Forum New York State New York State Employment Relations Board New York Stock Exchange Police Benevolent Association Society of Federal Labor Relations Professionals Suffolk County Public Employment Relations Board US District Court - Eastern District of NY United States Supreme Court PUBLICLY AVAILABLE AWARDS Pubdicly Available Awards Section. Current as of 01,20/2010 Case ID Case Name 08-03001 Jarod C. Winters vs. Barclays Capital Inc. and Barclays Bank PLC 06-04123 Ronald Hancock v. Bearguard Financial Services, et al Close Date 01/05/2010 05/23/2007 Staff ID: LeeC ARBITRATOR BACKGROUND INFORMATION Page 47 of 75 Pubbely Available Awards Section. Current as of 01/20/2010 EFTA00726372 FINRA Dispute Resolution Arbitrator ID: I was employed by the Nassau County Police Department for the past 44 years in all phases of law enforcement. I retired in June 2002 at the rank of Deputy Police Commissioner. At that time my main duties included the administration of the 11th largest Police Department in the United States, with a budget in excess of $600 million dollars, employing 2,800 sworn members of the Force and 1.900 civilian members of the Department. During my course of employment with the Department, I was cross-designated by the United States Custom Service and United States Marshal's Service as a Special Agent. Presently, I serve as the Director of the Department's Crime Stoppers program, and since 1995, I have served as Legal Counsel to the Nassau County Police Department Pipes and Drums Band. Since my retirement from the Police Department, I have been designated as one of a six-member rotating arbitration panel conducting grievance arbitrations between various employers and members of the UFCW Local 342, UFCW Local 174 and UFCW Local 50 unions. Additionally, I am the designated arbitrator for these unions for all matters involving delinquent contributions to their Affiliated Trust and Pension Funds, which are required under various collective bargaining agreements. I am a member of the Society of Federal Labor Relations Professionals, the Industrial Relations Research Association and the National Arbitration Forum. In addition, on July 15, 2002, I was appointed as an Accnriate Village Justice in the Village of Bayville Court hearing various cases involving violations of the NYS Vehicle and Traffic Law, violations of Village Ordinances, and other matters coming to the attentions of the Court. I continue as the general research assistant and technical advisor to best selling author Nelson DeMille for his novels Plum Island (1997), Lions Game (1999), Up Country (2002), Night Fall (2004)and Wld Fire (2006), each published by Warner Co. Further, I am a contributing author of the Criminal and Civil Investigation Handbook, published by McGraw Hill 1981, Revised 1992. I received a Bachelor of Arts degree and a Master in Professional Studies degree from Long Island University, C. W. Post College and from 1977 to 1986, I was employed by LIU, C. W. Post College as an Adjunct Professor in the Department of Criminal Justice. In 1991, I received the degree of Juris Doctor from Hofstra University School of Law and am admitted the New York State Bar, the United States Supreme Court and the United States District Court - Eastern District of New York. Experience: Contract Interpertation Staff ID: LeeC Page 48 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726373 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01115/2010 ARBITRATOR Name: Mr. Peter Dixon Trinkle Skills in Controversy: Arbitrator ID: Account Related - Transfer, Executions - Execution Price CRD #: City/State/Country: Brooklyn / NY / United States Classification: Public Skills in Securities: FINRA Mediator: No Annuities. Mutual Funds, Variable Annuities Chair Status: None EMPLOYMENT Start Date End Date Finn Position 02/2008 Present Kaplan Professional Instructor 01/2003 Present Self employed Freelance Writer 10/2000 01/2003 Worldinsure Director 02/1995 10/2000 John Hancock Manager 05/1994 02/1995 Unemployed Start Date End Date School College EDUCATION Degree 09/1990 05/1994 Skidmore BA TRAINING Completed Description Details Firm/School Hours Location 09/2009 Expungement - 2008 Read FAQ FINRA 1 01/2008 Refresher Revised Code of FINRA 2 online 08/2004 Arbitration Expungement online mini-course NASD 1.5 online 03/2004 New Panel Member NASD 11 Newark, NJ Training [NASD] DISCLOSURE/CONFLICT INFORMATION Tvoe Has an account with Has made a disclosure about Family Member has relationship with Has an account with Had an account with Staff ID: LeeC Firm Name Bank of America Bank of America Citigroup Global Markets, Inc. Citigroup Global Markets, Inc. Charles Schwab & Co.. Inc. Page 49 of 75 Details Acquired Quick and Reilly, Inc. Brother-in-law employed Smith Barney Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726374 FINRA Dispute Resolution Was employed by Had an account with Had an account with Licensed to Practice Held Securities License(s) John Hancock Quick and Reilly, Inc. Southwest Securities Arbitrator ID: Closed in 1998 Life, accident and health in all fifty states Series 6, 7, 24, 26, 63 & 65 PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 03-08740 Gaetano J. Aglione, Beverly Agfione, Gaetano J. Aglione IRA, et al v. American Express 11/30/2004 Financial Advisors, Inc. ARBITRATOR BACKGROUND INFORMATION I am presently an Instructor with Kaplan Professional and a freelance writer in Brooklyn. NY. From 2000 to 2003. I served as a Director and Officer of the Worldinsure Corporation. My responsibilities included hiring operational staff, attaining nationwide insurance licensing in the United States and Canada. and supporting our sales efforts. During my tenure, I attained my Life, Accident and Health License in all fifty states. From 1995 to 2000, I worked for John Hancock Signature Services. My responsibilities included managing their call center operations, the recording and execution of variable life and annuity fund transfers and working with other departments to ensure compliance with NASD, SEC and State audits. While at John Hancock I received my Series 6, 7, 24, 26, 63 & 65 licenses. Two years have elapsed since I worked for a broker dealer. Staff ID: LeeC Page 50 of 75 Publicly Available Awards Section. Current as of 01/26/2010 EFTA00726375 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Edward G. Toptani Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD #: City/State/Country: New York / NY / United States Classification: Public FINRA Mediator: No Chair Status: Qualified Skills in Securities: There are no skills in security information. Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. EMPLOYMENT Start Date End Date Firm LFoiltia 07/1991 Present Toptani Law Offices Founder/Attomey 10/1987 06/1991 Shearman & Sterling Associate 06/1986 08/1986 Shearman & Sterling Summer Associate 06/1985 08/1985 Mckenna, Conner & Cuneo Summer Associate 08/1983 05/1984 Congressman Robert Torricelli Legislative Assistant 05/1983 07/1983 World Bank Research Assistant 05/1983 07/1983 Youth Policy Magazine Editor in Chief 06/1982 08/1982 Alliance for Justice Intern EDUCATION Start Date End Date School Degree 01/1984 01/1987 University of Michigan JD 01/1979 01/1983 University of Michigan AB TRAINING Completed Description Details Firm/School awn a 09/2009 Expungement - 2008 Read FAQ FINRA 1 02/2009 Refresher Revised Code of FINRA 2 online 02/2005 Arbitration Expungement online mini-course NASD 1.5 online 03/1999 New Chairperson NASD 11 location varies 01/1994 Training [NASD) Intro Securities Arbitrator NASD 4 New York, NY Training 11/1993 Participatory Arbitrator Tools of the Arbitration NASD 2 New York, NY Skills Program Process Staff ID: LeeC Page 51 of 75 Publicly Available Awards Section. Current as of 01/2012010 EFTA00726376 FINRA Dispute Resolution Arbitrator ID: Type Initiated/defended legal action against Initiated/defended legal action against Has an account with Had an account with Is a member of Is a Member of Bar Association Is a Member of Bar Association Initiated/defended legal action against DISCLOSURE/CONFLICT INFORMATION Firm Name Details Goldman Sachs & Co. The Goldman Sachs Group, Inc. Trade-Well Discount Investing, LLC Merrill Lynch Pierce Fenner & Smith New Media Association Tradewell Discount Brokers New York American Bar Association New York Stuart Coleman & Co. PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 07-00945 Leslie Cox-Colon v. Citigroup Global Markets Inc. f/k/a Solo mon Smith Barney, Inc. and Loretta 10/15/2009 Chiofolo 09-00367 Alan Gelband & Co. Defined Contribution Pension Plan & Trust vs. TD Ameritrade, Inc. 07/08/2009 07-02940 Don Chaifetz v. E*Trade Securities LLC 07/25/2008 03-00537 Lake Company LLC and Riverview Company LLC vs. James J. McLaughlin and McLauglin, 03/02/2007 Piven, Vogel Securities, Inc. 04-08636 Roslyn Berger v. Salomon Smith Barney, Inc. 06/14/2006 03-07032 James C. Dooley v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. 06/01/2005 02-00661 Fahnestor-k & Co., Inc., v. Sands Brothers & Co., Ltd. Dan Maurer, Brian Bartlett, Eric Cardenas, et al. 02/17/2005 03-09242 Steven and Beth Price vs. American Express Financial Advisors, Inc. and William Tassey 02/14/2005 03-06742 Eric Raphael vs. Robert Morris and James Kessler 07/12/2004 03-02447 Jerome and Laura Goldberg vs First Union Securities, Inc. and James D. Routhier 06/29/2004 01-03483 Andreas Wiener, Sue Klavans Simring and Steven S. Simring vs Paul Croitoroo and Bear, Sterns 02/24/2003 & Co., Inc. 02-02101 Larry Shiller v. TD Waterhouse Investor Services, Inc. 09/05/2002 00-01646 Imaginative Business & Marketing Ltd. v. Laidlaw Global Securities, Inc., et al 08/14/2001 98-03690 Susan B. Georges vs. CIBC Oppenheimer Corp. and Richard B. Fee 12/12/2000 00-00837 Napoleon Georgatos v. New Times Securities Services Inc., Michael Silk 11/14/2000 99-03919 Fred Olinsky and Beatrice Olinsky v. Neil Okun and Gruntal & Co., Inc. 10/18/2000 98-04417 Janet Pasquale vs. Harvey Block, Oppenheimer & Co. Inc., Carrie Cimino and Alden Capital 10/10/2000 93-05302 Seymour Sobel, Robert Chaut, Jay and Barbara Stein vs. Smith Barney, Harris Upham & Co. 08/07/1996 93-03101 Dr. Carl Pagano, TTEE/PSRP vs. Melbourne GSI Corp. and Joel Heusler 12/14/1994 92-02331 Sidney W. Barbanel v. Napex Financial Corp. v. FSC Securities Corporation 03/03/1994 Staff ID: LeeC ARBITRATOR BACKGROUND INFORMATION Page 52 of 75 Put** Available Awards Section. Current as of 01/20/2010 EFTA00726377 FINRA Dispute Resolution Arbitrator ID: Since 1991, I have practiced law in a small boutique law firm setting. My practice is small but quite diversified, including corporate, entertainment and commercial matters (litigation and non-litigation). Accordingly, one day I may find myself in federal court litigating trademark issues, and the next I may draft a private placement memorandum or meeting with clients concerning the launching of a new cosmetics line. From 1987 to 1991, I worked for Shearman & Sterling, in NYC, as a corporate associate. My duties included transactional support on a number of large and sophisticated domestic and international matters, including secured bank financings, corporate reorganizations and work-outs, privately negotiated mergers and acquisitions and cross-border commercial leveraged leases. I also worked on a number of pro-bono matters. After college and prior to law school. I served in a number of public interest capacities in Washington, D.C. I assisted a World Bank economist with an international price study; I supervised a staff of approximately 10 reporters and authored articles for Youth Policy Magazine, a journal founded by the Robert F. Kennedy Memorial and dedicated to issues affecting America's youth; and I advised Congressman Robert Torricelli (now Senator) on a number of legislative issues, primarily in the areas of foreign affairs and science and technology. During college I was an intern at the Alliance for Justice, a coalition of public interest law organizations. Julere, a co-authored an article on concerning public agency non-compliance with the Administrative Procedure Act. My professional activities include membership in the American Bar Association and the NY State Bar Association. Staff ID: LeeC Page 53 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726378 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator: Chair Status: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Mr. Mark A. Egert New York / NY / United States Non-public No None ARBITRATOR Skills in Controversy: Employment - Breath of Contract. Employment - Compensation. Employment - Employment Discrimination. Employment - Wrongful Termination, Other - Underwriting, Trading Disputes - Buy In, Trading Disputes - Sell Outs Skills in Securities: Repurchase Agreements Start Date End Date 01/2005 Present 07/2003 01/2005 09/1997 03/2003 01/1995 09/1997 03/1992 01/1995 10/1987 03/1992 EMPLOYMENT Firm Cowen & Company. LLC RBC Capital Markets Corporation ABN AMRO, Incorporated Securities Industry Association Kavanagh Peters Powell & Osnato Shearman & Sterling Position Chief Compliance Officer Legal & Compliance Director Chief Legal Officer VP/Annriate General Counsel Associate Associate EDUCATION Start Date End Date School Washington University Law School of Delaware Degree 01/1984 01/1980 01/1987 George 01/1984 University JD BA TRAINING Completed Description Details Finn/School Hours Location 05/2009 Expungement - 2008 FINRA 1 12/2008 Refresher Revised Code of FINRA 2 online 10/2004 Arbitration Expungement online mini-course NASD 1.5 online 06/2000 New Panel Member NASD 11 New York, NY Training [NASD] Type Has an account with Had an account with Was employed by Staff ID: LeeC DISCLOSURE/CONFLICT INFORMATION Firm Name Details Merrill Lynch Pierce Fenner & Smith ABN AMRO, Inc. ABN AMRO, Inc. Page 54 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726379 FINRA Dispute Resolution Had an account with Had an account with Has made a disclosure about Is employed by Was a Client Had an account with Had an account with Was employed by Had an account with Was a member of Is a member of Is a member of Has made a disclosure about Bluestone Capital Corp. CIBC World Markets Corp. CRT Financial Group, Inc. Cowen and Company, LLC DLA Piper Rudnick Gray Cary US LLP Fidelity Investments Institutional Services J.P.R. Capital Corp. RBC Capital Markets Corporation RBC Dain Rauscher Inc. SIA SIFMA The Bond Market Association Arbitrator ID: Whale Seucrities Oppenheimer (Past) Served on various Securities Ind. Committees PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name 07-03282 Joseph Stevens 8 Company, Inc. vs. Joseph Bloc ken, Cleon R. Cato, Rennatto A. Comejo, Mark Dalcollo, et al. 06-01355 Wachovia Securities Financial Network, LLC v. Mark Goldberg 04-02958 Robert Bruce Harris vs. Michael Joseph Pierce III 01-02336 Tina Daniels vs. Weatherly Securities Corp., and Jason Gross Close Date 03/03/2009 02/23/2007 01/19/2005 10/23/2002 ARBITRATOR BACKGROUND INFORMATION I am currently employed by Cowen and Company, LLC., and serve as Chief Compliance Officer. My title is Managing Director. I am a member of the Office of the Chief Executive and a number of other management committees. Since I began my legal career in 1987, I have worked at two law firms, one trade association and three brokerage firms and banks. The focus of my practice has been on securities rules and regulations, as well as general corporate and transactional matters. "Based on information made available to FINRA, the arbitrator (i) is an employee of a firm that, at any point since January 1, 2005, sold auction rate securities, or (ii) was an employee of such a firm at any time after January 1, 2005." Staff ID: LeeC Page 55 of 75 Publicly Available Awards Section. Current as of 0120/2010 EFTA00726380 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator: Chair Status: Mr. James I. Berliner Larchmont / NY / United States Non-public No None ARBITRATOR Skills in Controversy: There are no skills in controversy information. Skills In Securities: There are no skills in security information. Start Date End Date 01/2006 Present 09/2005 Present 01/1994 12/2005 10/1965 03/1994 12/1963 10/1965 06/1951 12/1963 EMPLOYMENT Firm Corporate Angel Network March of Dimes Foundation International Executive Services Corp. JP Morgan Guaranty Trust Company American Union Transport International General Electric Company Position Scheduler Volunteer Leadership Executive Recruiter Managing Director Foreign Commercial Paper Trade Accounting EDUCATION Start Date End Date School 09/1947 06/1951 Oberlin College Degree BA Economics Completed Description 01/2009 Expungement - 2008 Refresher 06/2008 Online Basic Panel FINRA Training 06/2008 Expungement online FINRA mini-course 05/2005 Additional Securities Introduction and NYSE Training Workshop Topics Details TRAINING Firm/School FINRA Hours Location 1 11 online 1.5 online 2 Type Family Member has relationship with DISCLOSURE/CONFLICT INFORMATION Firm Name Bumham Securities Has an account with Bumham Securities Family Member has relationship Vanguard Group with Staff ID: LeeC Page 56 of 75 Details Spouse has account Spouse has account Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726381 FINRA Dispute Resolution Arbitrator ID: Has an account with Vanguard Group Has made a disclosure about JP Morgan 8 Co. Receives pension and retiree healthcare Family member had relationship Smith Barney Spouse had account with Had an account with Smith Barney Family member had relationship UBS Spouse had account with Had an account with UBS PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name Close Date There is no award information. ARBITRATOR BACKGROUND INFORMATION Starting in 2005, I began a two day a week volunteer position with the National Headquarters of the March of Dimes. My position is in the Volunteer Leadership Department which strives to improve the quality and retention of volunteers for the March of Dimes nationwide. From 1994 until 2005, I worked for about three days each week for a not-for-profit organization, the International Executive Service Corps. My job, a volunteer position, was to recruit businessmen and professionals, mostly retired, to assist organizations in developing nations. The program was financed principally by the United States Agency for International Development. I found that this work sharpened my skills in judging the suitability of candidates to undertake assignments abroad often under difficult conditions. I left the organization in 2005 when the function I was performing was moved to Washington, D.C. I spent 29 years, until I retired in 1994, with Morgan Guaranty Trust Company, a subsidiary of J. P. Morgan and Co. During my entire career with Morgan, I was assigned to the commercial banking side of the Company. Initially I was in the Commodity Finance group which provided secured financing to commodity importers and exporters of foods and fibers. From there I was assigned to the Petroleum Department which handled banking relationships with oil companies. In 1978 I supervised five professionals as head of the newly established Project Finance Department. This group was charged with the responsibility of soliciting and structuring complicated financing of development projects worldwide. The basis of this financing was analyzing the risk of the project to generate sufficient cash flow to repay creditors. From 1982 until 1985, I headed the Natural Resources Group in the Bank's London Office supervising fifteen professionals. My final assignment, before my retirement, was Senior Credit Officer for the Bank's North American banking business. My responsibilities included approving large exposures to clients arising out of loans, commitments, lines of credit, interest rate and currency swaps, etc. Before joining Morgan, I worked for American Union Transport, a privately owned shipping company which had a small finance group. The finance group marketed high risk commercial paper issued by organizations in developing countries. For twelve years after being graduated from college I was employed by the international division of General Electric Company in a variety of accounting and equipment sales finance positions. In addition to having served as an arbitrator at the NYSE, my experience as a senior credit officer at Morgan Guaranty Trust Co. required me to make judgments based upon the presentation of facts, data, and other information. My decisions not only needed to balance issues such as risk/reward but to probe the presenters on the facts and analysis they used in making their cases. It was always necessary to be completely unbiased in making judgments because the decisions had a major monetary impact on the Bank's results. On July 23, 2008 the Arbitrator responded to a FINRA survey about auction rate securities. In the response, the Arbitrator disclosed that since January 1, 2005, the Arbitrator has not been employed by or associated with a brokerage firm. Staff ID: LeeC Page 57 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726382 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Brian J. Neville Skills in Controversy: Arbitrator ID: There are no skills in controversy information. CRD #: 2463115 City/State/Country: New York / NY United States Classification: Non-public Skills in Securities: FINRA Mediator: No There are no skills in security information. Chair Status: Qualified EMPLOYMENT Start Date End Date fima Position 11/2007 Present Lax & Neville, LLC Partner 01/2002 10/2007 Law Offices of Brian J. Neville Owner 05/2000 12/2001 Kogan Taubman & Neville, LLC Partner 01/1996 05/2000 Josephthal & Co. Associate General Counsel 02/1994 01/1996 Prudential Securities, Inc. Attorney 08/1993 02/1994 Sangerman & Associates Associate Attorney EDUCATION Start Date End Date Schoo Degree 01/1990 01/1993 New York Law School JD 01/1986 01/1990 University of Scranton BS Accounting TRAINING Completed Description Details Firm/School Hours Location 06/2008 Revised Code of FINRA 2 online 11/2007 Arbitration Additional Securities Securities Arbitration NYSBA New York 10/2004 Training Expungement online mini-course & Mediation NASD 1.5 online 07/2004 New Chairperson NASD 11 online 07/2004 Training [NASD] Duty to Disclose online mini-course NASD 1 online 03/2000 Expungement - 2008 FINRA 1 02/2000 Refresher New Chairperson NASD 11 New York, NY 12/1999 Training [NASD] New Panel Member NASD 11 New York, NY Training [NASD) Staff ID: LeeC Page 58 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726383 FINRA Dispute Resolution Arbitrator ID'. DISCLOSURE/CONFLICT INFORMATION li ps Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Is a Client Is a Client Initiated/defended legal action against Is a Client Initiated/defended legal action against Initiated/defended legal action against Was employed by Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Is a Client Initiated/defended legal action against Initiated/defended legal action against Family Member has relationship with Initiated/defended legal action against Was employed by Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against I have a client of Initiated/defended legal action against Initiated/defended legal action against Is a Client Stan ID: LeeC Firm Name Advest. Inc. Charles Schwab Citigroup Global Markets. Inc. EsTrade Financial Securities Fahnestock International Inc. Fidelity Brokerage Services LLC First Republic Group, LLC First Union Securities. Inc. Janney Montgomery Scott LLC Josephthal & Co., Inc. Kirlin Securities Marquis Financial Services. Inc. McMahon Securities, Co. Melhado, Flynn & Associates Merrill Lynch Pierce Fenner & Smith Morgan Stanley & Co., Incorporated Morgan Stanley DW, Inc. Prime Charter Ltd., Inc. Prudential Equity Group, LLC RBC Dain Rauscher Inc. Summit Equation UBS Financial Services Inc. Wachovia Securities, LLC Wall Street Access Corp. Baric Inventor Bear Steams & Co., Inc. Broadwall Capital. LLC Page 59 of 75 Details Customer cases Customer cases against Salomon Smith Barney Representation Customer cases Customer cases Customer cases Brother employed Customer cases Prudential Securities 1/96-2000 Publicly Available Awards Section. Current as of 01120/2010 EFTA00726384 FINRA Dispute Resolution Arbitrator ID: Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against I have a client of Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against Initiated/defended legal action against I have a client of Initiated/defended legal action RD White against Initiated/defended legal action Royal Alliance against Was a member of SIA Initiated/defended legal action SW Bach against I have a client of I have a client of I have a client of I have a client of Family member had relationship with I have a client of Westminster Securities Corp I have a client of Wolverine Trading Is a Member of Bar Association Is a Member of Bar Association Initiated/defended legal action against CSFB Clearing Services of America Dupont Securities Emast Investors First Allied Securities First Colonial Securities Group First Montauk Securities Linsco Private Ledger Millennium Securities Park Financial Securities Saxorry Securities Sperreir Track Securities Strausberger, Pearson, Tulcin & Wolff V Finance Securities WMA Securities 1/96-Present Compliance & Legal Division Brother was employed Representation New Jersey New York Todd Eberhard PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Current as of 01/20/2010 Case ID Case Name 08-01148 Gisela Selo vs. Robert R. Meredith & Co., Inc. 07-01786 Clark Dodge & Co., Inc. v. Martin Rybak 05-06403 Brian Langenberg v. Soleil Securities Corporation 05-06317 Michael Picozzi v. Lehman Brothers, Inc., and William Philip Walsh Close Date 03/26/2009 12/12/2007 06/22/2007 06/04/2007 Staff ID: LeeC Pape 60 of 75 Publicly Available Awards Section, Current as of 01/2=010 EFTA00726385 FINRA Dispute Resolution Arbitrator ID: 99-02295 James Messenger and Lois Messenger vs Biltmore Securities Inc., Rand Alan Heckler, FAS 04/15/2003 Wealth Management Service etal ARBITRATOR BACKGROUND INFORMATION After graduating law school, I worked briefly for a small law firm specializing in elder law. In February of 1994, I joined the Prudential Securities Inc. Legal Department working on the Limited Partnership Settlement Fund, where I represented Prudential in dozens of expedited arbitrations and also settled approximately a hundred claims. In January of 1996, I left Prudential and joined the legal department of Josephthal Lyon & Ross Inc. (Josephthal & Co., Inc). I have represented Josephthal at numerous NASD and NYSE arbitrations including customer sales practice cases and former employee claims including wrongful termination, defamation and Title VII claims. I have occasionally represented Josephthal in cases against former brokers. Additionally, I have represented brokers at NYSE and NASD enforcement actions. In May 2000, I left Josephthal to join the newly named law firm of Kogan Taubman & Neville, LLC. Starting January 2002 I left this firm and am operating as a solo practitioner. I am a full service law firm specializing in securities related issues. I represent issuers, investors and members of the brokerage and investment banking community. I am currently employed with the firm of Lax & Neville, LLP. On September 12, 2008, the Arbitrator responded to a FINRA survey about auction rate securities. In the response, the Arbitrator disclosed that since January 1, 2005, the Arbitrator has not been employed by or associated with a brokerage firm. Staff ID: LeeC Page 61 of 75 Publicly Available Awards Section. Current as of 0120/2010 EFTA00726386 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator: Chair Status: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Mr. Andrew Joseph Donovan ARBITRATOR Skills in Controversy: Account Related - Dividends, Account Related - Transfer 1291765 Mohegan Lake / NY / United States Non-public No None Skills in Securities: Annuities. Corporate Bonds. Government Securities, Mutual Funds, Municipal Bonds, Municipal Bond Funds, Preferred Stock Start Date End Date 01/2001 Present 01/2001 Present 08/1996 01/2001 05/1996 08/1996 01/1994 12/1997 10/1993 08/1996 01/1990 1211993 07/1989 10/1993 04/1988 07/1989 07/1984 04/1988 01/1980 06/1984 07/1978 10/1979 EMPLOYMENT Firm LPL Financial Self-Employed Chase Investment Services Advantage Capital Westchester County US Merchant Marine Acad. Town of Yorktown NY Medical College Kidder Peabody Merrill Lynch US Navy Merrill Lynch position Registered Representative Financial Consultant Financial Consultant Registered Representative County Legislator Director of Development NY Councilman Director of Development Financial Consultant Financial Consultant Damage Control Officer Operations Manager Start Date 12/1994 07/1974 09/1970 End Date 03/1996 02/1983 06/1974 EDUCATION School College of Financial Planning Fordham University Fordham University Desires CFP PhD BA Completed Description Details 03/2009 Motion to Dismiss Completed FAQ Training 01/2009 Expungement - 2008 Completed FAQ FINRA Refresher 12/2008 Onsite Basic Panel FINRA Training TRAINING Firm/School FINRA Hours Location 1 1 4 Newark, NJ Staff ID: lime Page 02 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726387 FINRA Dispute Resolution 12/2008 11/2008 Expungement online mini-course Online Basic Panel Training FINRA FINRA Arbitrator ID: 1.5 online 11 online Tvoe Has an account with I am a client of Is a member of Had an account with I was a client of Received Honors Had an account with I was a client of Was a member of Was a member of Was a member of Has published Has published Lectured on Lectured on Holds Securities License(s) DISCLOSURE/CONFLICT INFORMATION Firm Name LPL Financial LPL Financial Boy Scout Chase Investment Services Chase Investment Services HB Earthart Foundation Merrill Lynch Merrill Lynch New York State 4-H Foundation Town of Yorktown Yorktown Chamber of Commerce Details IRA Leader IRA Fellow Shipe Brokerage/IRA Chairman Elected Councilman Former Director "Fund Raising Management" "Planned Giving Today" Fund Raising ProgramlCreation & Mgmt. Planned Giving Series 7, 24, 63, and 65 Case ID Case Name PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/202010 There is no award information. Close Date ARBITRATOR BACKGROUND INFORMATION Andrew Donovan was born in New York City where he attended local schools. He graduated from Fordham University where he received his BA degree. He was awarded a Fellowship by the H.B. Earhart Foundation. He taught American Government at Fordham University from 1976 to 1978. He received his Ph.D. from Fordham University in 1983. In 1978 Mr. Donovan joined Merrill Lynch, Pierce, Fenner and Smith, Inc. in New York. He was appointed Operations Manager for the New York Commodity Sales Office. In 1980, Mr. Donovan took leave from Merrill Lynch and was commissioned an officer in the United States Navy. During his four and a half years on active duty, he served as Damage Control Officer aboard and, ammunition ship and as Navigator aboard the guided missile cruiser, USS Josephus Daniels. After his discharge from active duty in 1984, he remained in the Naval Reserve. He is a graduate of the United States Naval War College. He retired in 2000 with the rank of Lieutenant Commander. Mr. Donovan returned to Merrill Lynch, Pierce, Fenner and Smith in 1984 as a Financial Consultant advising individuals and businesses on investments, insurance and retirement plans. He was later employed by Kidder Peabody and Company as a Financial Consultant and by both New York Medical College and the United States Merchant Marine Academy as Director of Development. Mr. Donovan was a Certified Fund Raising Executive (CFRE) specializing in planned giving. His articles have been published in "Planned Giving Today" and "Fund Raising Management." He has presented seminars on planned giving, Stall ID: LeeC Page 63 of 75 Publicly Available Awards Section. Current as of 01/202010 EFTA00726388 FINRA Dispute Resolution Arbitrator ID: and fund raising program creation and management. In 1989, Mr. Donovan was elected Councilman in the Town of Yorktown. In 1993 he was elected Westchester County Legislator. He was re-elected in 1995. He did not seek re-election at the expiration of his term. During this time he also served as Chairman of the New York State 4-H Foundation. He is also a former Director of the Yorktown Chamber of Commerce. Today he serves as a Boy Scout leader. In 1996, Mr. Donovan joined Chase Investment Services as a Financial Consultant in the Yorktown Peekskill area. Mr. Donovan joined the national independent brokerage firm of LPL Financial in 2001. As an independent financial representative, his business operates under the name of Donovan Financial. As a Certified Financial Planner professional, securities and insurance are offered through LPL Financial which is a member of the FINRA and SIPC. On October 7, 2008, the arbitrator responded to a FINRA survey about auction rate securities. In the response, the arbitrator disclosed that since January 1, 2005, the arbitrator had been employed by or associated with a brokerage firm that sold auction rate securities. Staff ID: LeeC Pape 64 of 75 Publicly Available Awards Section, Current as of 01/20,2010 EFTA00726389 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 ARBITRATOR Name: Mr. Antonio Concepcion Skills in Controversy: Arbitrator ID: Account Related - Dividends, Executions - Execution Price, Executions - Limit v. Market Order, Trading Disputes - Buy In, CRD Trading Disputes - Mark-ups. Trading Disputes - Sell Outs City/State/Country: Hightstown NJ / United States Classification: Non-public Skills In Securities: FINRA Mediator: No Common Stock, Corporate Bonds, Mutual Funds, Preferred Chair Status: None Stock, DO NOT USE, Warrants/Rights EMPLOYMENT Start Date End Date Firm Position 08/2001 Present Retired not provided 01/1996 08/2001 Hill, Thompson, Magid, L.P. Senior Foreign Trader 10/1994 12/1995 Wood Gundy Corporation Order Clerk 05/1994 08/1994 Ernst & Company Trader OTC 07/1992 04/1994 Cart Securities Corporation Trader OTC 08/1987 01/1992 Adler Coleman & Company Trader 02/1965 08/1987 Carl Marks & Company Trader 01/1964 02/1965 E.F. Hutton & Company Order Clerk 06/1963 01/1964 Ira Haupt & Company Teletype 05/1959 06/1963 Model Roland & Stone Cable Clerk 01/1959 01/1969 U.S. Army Reserve Staff Sargent 07/1953 04/1959 H. Hentz & Company Cable Clerk EDUCATION Start Date End Date School Degree 06/1958 05/1959 New York Institute of Finance not provided 01/1949 01/1953 Erasmus Hall High School Diploma TRAINING Completed Description Details Firm/School Hours Location 04/2009 Motion to Dismiss FINRA 12/2008 Training Expungement - 2008 FINRA 1 03/2007 Refresher Revised Code of NASD 2 online 10/2004 Arbitration Expungement online mini-course NASD 1.5 online Staff ID: LeeC Page 65 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726390 FINRA Dispute Resolution 12/2003 New Panel Member Training [NASD] NASD Arbitrator ID: 11 New York, NY Type Has made a disclosure about Has an account with Was employed by Was employed by Was employed by Was employed by Was employed by Was employed by Had an account with Was employed by Was employed by Was employed by Was a member of Was employed by Is a member of Holds Securities License(s) Languages other than English DISCLOSURE/CONFLICT INFORMATION Firm Name Details Citigroup Global Markets, Inc. Scottrade Adler Coleman & Co. Carl L. Marks & Co. Car Securities Corp. E.F. Hutton & Co. Ernst & Co. H. Hentz & Co. Hill Thompson Magid & Co., Inc. Hill, Thompson, Magid Ira Haupt & Co. Model, Roland & Stone Preferred Traders Association Wood Gundy Corp. As a trader:had traded occasionally w/Smith Barney STANY Series 7 and 55 (held) Spanish Case ID 06-05327 04-06540 PUBLICLY AVAILABLE AWARDS Pubis* Available Awards Section, Current as of 01/202010 Case Name Cosme Monot vs. LinkBrokers Derivatives Corporation Inc. Joseph Parella, Angelina Parella, et al vs. Milton Koenigsberg and Northeast Securities Incorporated Close Date 02/02/2009 06/06/2006 ARBITRATOR BACKGROUND INFORMATION My career in the securities industry began in 1953. My responsibilities during these years grew from an entry level position in the Foreign Department of the prestigious firm of H. Hentz & Co., for whom I worked six years, to my most recent employment with Hill, Thompson, Magid, L.C., as Senior Foreign Trader. At this firm, it was my responsibility to start a viable Foreign Trading Desk and trade, along with aiding in the development and listing in the U.S.A., of previously foreign only traded issues. I also acted as consultant to this firm on these issues. I began trading in the 1960's, with the firm of Carl Marks and Company Inc. While employed there for twenty-two years, I traded foreign securities, third market listed securities, bonds, preferred, and many esoteric issues. Added to my duties here, was Public Relations, for which I traveled to Europe and throughout the country for about 30 years. I have been registered with the NYSE, PCSE, NASD, and have been a member of STANY, holding several appointed positions with them over the years. I have also been a member of the Preferred Traders Association. My military service was with the U.S. Army Reserve, as a Staff Sergeant, serving from 1959 until 1969, where I was the Staff ID: LeeC Pape 66 of 75 Publicly Avaaatae Awards Section, Current as of 01/20/2010 EFTA00726391 FINRA Dispute Resolution Arbitrator Communications Chief of H.Q. Battery, supervising more than fifty men. I was recalled to active duty during the Berlin Crisis and Cuban Missile Crisis, and received an honorable discharge in 1969 Previously. I held a Series 7 and 55 licenses. I have taught Securities Courses at the local school for Community Education for fifteen years, and presently work with the Literacy Volunteers of America (LVOA), where I have been certified for teaching Basic Literacy and ESL (English as a Second Language), which I find very rewarding. I graduated from Erasmus Hall High School in 1953, with an Academic Diploma, and have also attended the New York Institute of Finance, where I studied and passed courses in Brokerage Procedure, work of the New York Stock Exchange, Options, Accounting Principles and Security Analysis. On August 6, 2008, the Arbitrator responded to a FINRA survey about auction rate securities. In the response, the Arbitrator disclosed that since January 1, 2005, the Arbitrator has not been employed by or associated with a brokerage firm. Staff ID: LeeC Page 07 of 75 Publicly Available Awards Section. Current as of 01/20/2010 EFTA00726392 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/152010 ARBITRATOR Name: Mr. R. Scott Garley Skills in Controversy: Arbitrator ID: Account Related - Margin Calls, Account Related - Transfer, CRD #: Executions - Execution Price, Empbyment - Breach of Contract, Employment - Commissions, Employment - City/State/Country: New York / NY / United States Compensation, Employment - Employment Discrimination, Employment - Libel or Slander, Employment - Partnerships, Employment - Promissory Notes, Employment - Wrongful Termination, Other - Clearing Disputes, Other - Recruitment Disputes, Trading Disputes - Other Floor Trading Classification: Non-public Skills in Securities: FINRA Mediator: No Common Stock, Corporate Bonds, Limited Partnerships, Chair Status: None Mutual Funds, Options, Repurchase Agreements EMPLOYMENT Start Date End Date Finn Position 08/1998 Present Gibbons Del Deo Dolan Griffinger, et al Partner 06/1994 07/1998 Grais & Phillips Partner 01/1994 05/1994 R. Scott Garley Sole Practitioner 08/1992 12/1993 Daley & Carley Partner 03/1984 07/1992 Seward & Kissel Associate 09/1981 03/1984 Haight, Gardner, Poor & Havens Associate EDUCATION Start Date End Date School Law School University Deorso JD AB 09/1978 09/1974 05/1981 Fordham 05/1978 Colgate TRAINING Completed Description Details Firm/School Hours Location 02/2008 Revised Code of FINRA 2 online 12/2004 Arbitration Expungement online mini-course NASD 1.5 online 10/1999 New Chairperson NASD 11 New York, NY 12/1912 Training (NASD] Intro Securities Arbitrator NASD 7 Training DISCLOSURE/CONFLICT INFORMATION D22 Firm Name My firm/employer had a client of Advest, Inc. Staff ID: LeeC Details Newark office represented firm Page 68 of 75 Publicly Available Awards Section. Current as of 01/2012010 EFTA00726393 FINRA Dispute Resolution My firm/employer has a client of Initiated/defended legal action against Has an account with Is a Client Initiated/defended legal action against Is a Client Is a Client Has made a disclosure about Is a Client Initiated/defended legal action against Is a Member of Bar Association My firm/employer has a client of Is a Client Has made a disclosure about Is a member of Is a Client Was Arbitrator for Investor complaint/arbitration/suit Is a Client Is a Member of Bar Association Is a Member of Bar Association Arbitrator for Arbitrator ID: Banc of America Securities Citigroup Global Markets, Inc. Salomon Smith Barney Inc. Fidelity Investments Institutional Services First Union Securities, Inc. Gruntal & Co., LLC Lehman Bros Lehman Brothers Inc Merrill Lynch Pierce Fenner & Smith Morgan Stanley DW Inc. Prudential Equity Group, LLC American Bar Association Bank of America FISERV Securities Lehman Bros. Inc. Phoenix Brokerage,LLC NY County Lawyers Association National Discount Brokerage New York Stock Exchange Salomon Smith Barney, Inc. TLW Securities, LLC Lehman Bros. FISERV Sec. Inc., Natl Disco. Broker Morgan Stanley Prudential Securities Inc Attorney for Monmouth New Jersey New York City US District Court Easten District of NY PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section, Dutton! as of 01/20/2010 Case ID Case Name 06-01988 Stuart Lantz v. Lincoln Financial Advisors Corporation 01-04644 Aaron N. Wise v. Chase Investment Services Corp. 99-04170 Jesup Lamont Securities Corp. v. C. Arthur, LLC.. CCF Captial Group. Inc., Arthur Wheeler, et al. 97-05008 Joel L. Gold vs. LT Lawrence & Co., Inc. Close Date 03/03/2008 03/06/2003 12/26/2000 02/09/1999 ARBITRATOR BACKGROUND INFORMATION My practice focuses primarily on litigation, arbitration, investigations and counseling in securities, employment, business tort (including fraud, unfair competition and civil RICO) and general commercial matters in New York and New Jersey. I represent securities firms, institutional investors and individuals in connection with securities fraud claims, trading and customer disputes. and hedge fund and investment partnership disputes. This includes representing broker-dealers and Staff ID; LeeC Pape 69 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726394 FINRA Dispute Resolution Arbitrator ID: investment management firms and their employees in arbitrations of all kinds, regulatory and compliance matters, and disciplinary investigations and proceedings before NYSE, NASD, SEC and state securities agencies. I also represent firms and individuals in disputes involving employment contracts, executive compensation employee benefits, non-compete and other restrictive covenants, discrimination and employment-related torts. On September 18, 2008, the Arbitrator responded to a FINRA survey about auction rate securities. In the response, the Arbitrator disclosed that since January 1. 2005. the Arbitrator has not been employed by or associated with a brokerage firm. Staff ID: LeeC Page 70 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726395 FINRA Dispute Resolution Arbitrator ID: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Name: Mr. Larry W. Befeler Arbitrator ID: CRD #: City/State/Country: Murray Hill / NJ / United States Classification: FINRA Mediator: Chair Status: None Non-public No ARBITRATOR Skills in Controversy: There are no skills in controversy information. Skills in Securities: There are no skills in security information. Start Date End Date 07/2003 Present 07/2003 Present 06/2003 01/2005 11/2000 06/2003 04/2000 10/2000 04/2000 11/2000 03/1993 04/2000 05/1989 03/1993 02/1988 05/1989 02/1987 02/1988 09/1986 02/1987 EMPLOYMENT Fir me aNrtional Financial Fidelity Investments Correspondent Services. Corp. UBS PaineWebber (CSC) Trade.com Online Securities, Inc. Bluestone Capital Partners, LP Oppenheimer & Co., Inc. (CIBC) Oppenheimer & Co., Inc. Shearson Lehman Hutton Drexel Bumham Lambert Bank of New York Position Director Director Credit & Risk Manager Compliance Officer Branch Compliance/Operations Corr. Clearing Analyst Margin Clerk Margin Clerk GNMA Accountant Start Date 09/1982 09/1974 End Date 05/1986 05/1962 EDUCATION School University of New Hampshire Pingry High School Degree BA Diploma Completed Description 03/2009 01/2009 03/2007 08/2004 Staff ID: LeeC Motion to Dismiss Training Expungement - 2008 Refresher Revised Code of Arbitration Expungement online mini-course Details. TRAINING Firm/School FINRA Page 71 of 75 FINRA NASD NASD Hours Location 1 1 2 online 1.5 online Publicty Available Awards Section. Current as of 01/20'2010 EFTA00726396 FINRA Dispute Resolution 08/2004 03/1996 Duty to Disclose online mini-course Intro Securities Arbitrator Training NASD Arbitrator ID: 1 online Introductory Arbitrator 6 San Francisco, CA Training DISCLOSURE/CONFLICT INFORMATION L'yn Firm Name Details Has made a disclosure about J. C. Bradford & Co. (Affiliated Co. w/UBS PaineWebber) Is a Client Prudential Securities Has an account with Wachovia Securities, LLC Family member had relationship Bank of America Securities Spouse was employed with Was employed by Bluestone Capital Partners, LP Family member had relationship Cowen Spouse was employed with Had an account with First Union Bank Family member had relationship Montgomery Spouse was employed with Family member had relationship Oppenheimer Spouse was employed with Had an account with Oppenheimer & Co Is a member of SIA Compliance and Legal Division Holds Securities License(s) Series 3, 4, 7, 8. 14, 24. 63 and 65 Was employed by UBS Paine Webber PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 0120/2010 Case ID Case Name Close Date 05-05320 David W. Levy v. Citigroup Global Markets, Inc. 07/25/2008 00.05729 West Caldwell Office Associates, LLC v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and 10/17/2002 Christopher Killeen ARBITRATOR BACKGROUND INFORMATION I am currently a Vice President of Risk Management at National Financial Services, LLC, Fidelity Company. My duties involve all areas of the correspondent clearing business. Previously, I was the Director of compliance at Bluestone Capital/Trade.com, where I was involved in a broad range of national retail and on-line issues. I have previously worked in a retail branch office in operations, compliance and administrative capacities and have a broad operations background including margin. I currently maintain the following securities licenses: Series 3, 4, 7, 8, 14. 24 and 63. On July 23, 2008, the arbitrator responded to a FINRA survey about auction rate securities. In the response, the arbitrator disclosed that since January 1. 2005. the arbitrator was employed by or associated with a brokerage firm that sold auction rate securities, but the arbitrator neither sold auction rate securities nor supervised someone who sold auction rate securities. Staff ID: LeeC Page 72 of 75 Publicly Available Awards Section. Current as of 01/202010 EFTA00726397 FINRA Dispute Resolution Arbitrator ID: Name: Arbitrator ID: CRD #: City/State/Country: Classification: FINRA Mediator: Chair Status: Arbitrator Disclosure Report Report reflects information provided by the arbitrator through 01/15/2010 Mr. Kevin B. Naughten 345217 Douglaston / NY / United States Non-public No None ARBITRATOR Skills in Controversy: There are no skills in controversy information. Skills in Securities: Common Stock, Commodities Futures, Government Securities, Mutual Funds, Municipal Bonds, Options. Preferred Stock, Repurchase Agreements, Stock Index Futures. Warrants/Rights EMPLOYMENT Start Date End Date Firm Position 12/2008 Present Unemployed 11/1999 12/2008 Citibank Systems Analyst 04/1999 12/2003 Virtus Advisors Consultant 05/1997 04/1999 Erste Bank Securities Manager 11/1995 10/1996 RLB-JPP Euro Securities Mgr. European Securities 04/1988 11/1995 Bank Austria Mgr., Europe Sec. 11/1977 04/1988 EAB Treasury 05/1977 11/1977 EF Hutton Account Executive 05/1972 05/1977 Merrill Lynch & Co. Account Executive 01/1971 01/1972 Teacher in Asia 01/1970 01/1971 NYC Department of Social Services Case Worker 01/1969 01/1970 US Army Sergeant 7th Infantry Division 01/1967 01/1969 NYC Department of Social Services Case Worker EDUCATION Start Date End Date School Decree 09/1968 01/1977 Bernard Baruch Graduate Sch.of Business MBA - Finance & Investment: 09/1963 06/1967 Le Moyne College BA - Economics Completed Description 01/2009 Expungement - 2008 Refresher 03/2007 Revised Code of Arbitration Staff ID: LeeC Details TRAINING Firm/School FINRA NASD Hours Location 1 2 online Page 73 of 75 Publicly Avarlable Awards Section. Current as of 01/20/2010 EFTA00726398 FINRA Dispute Resolution Arbitrator ID: 12/2004 Expungement online mini-course NASD 1.5 online 06/2000 New Panel Member NASD 11 New York, NY Training [NASD) Tyoe Has an account with Has an account with Has an account with Has an account with Has an account with Has an account with Was a member of Was a member of Has made a disclosure about Was employed by Was a member of Was Arbitrator for Was employed by Held Securities License(s) Holds Securities License(s) DISCLOSURE/CONFLICT INFORMATION Firm Name Details Citigroup Global Markets, Inc. Dreyfus Service Corp. Fidelity Investments LFG, L.L.C. Keystone (REFCO) REFCO Vanguard AIMR Amer. Institute of Mangement and Research nka The CFA Institute Citibank PartoftheTravellersGroup-SalomonSB Citigroup Global Markets, Inc. New York Society of Securities Analysts New York Stock Exchange Virtus Advisors Series 3, 4, 27 and 63 Series 7 and 24 PUBLICLY AVAILABLE AWARDS Publicly Available Awards Section. Current as of 01/20/2010 Case ID Case Name Close Date 09-00861 Helen Howard vs. Wells Fargo Investments, LLC and David M. Logsdon 09/01/2009 06-03260 Wachovia Securities, LLC. v. Haran Brucker 08/19/2008 07-02620 Todd Greenbaum v. Hapoalim Securities USA, Inc. as Successor in interest to lnvestec (US) 04/08/2008 Incorportated. 99-03829 Eli and Stephanie Serur vs. Prudential Securities and Jeff Miller 99-00981 Barry M. Lasner v. Advest, Inc. and Carol Silverman 09/28/2000 04/26/2001 ARBITRATOR BACKGROUND INFORMATION Formerly employed with Citibank as a Systems Analyst. Twenty-five years in bank treasury and broker dealer activities, including marketing, research, trading; fixed income and equities, foreign and domestic; extensive retail and institutional contact. Education included BA Economics and MBA Finance and Investments; Professional memberships included NY Society of Securities Analysts and AIMR; Securities licenses held: Series 3 (Commodities and Futures) 27 (Fin Op) and series 63. Currently hold series 7 and 24. "Based on information made available to FINRA, the arbitrator (i) is an employee of a firm that, at any point since January 1, 2005, sold auction rate securities, or (ii) was an employee of such a firm at any time after January 1, 2005." Staff ID: LeeC Page 74 of 75 Publicly Available Awards Section, Current as of 01/20/2010 EFTA00726399 FINRA Dispute Resolution Arbitrator ID: Staff ID: LeeC Page 75 of 75 Publicly Available Awards Section: Current as of 01120/2010 EFTA00726400