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. 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., nc. Susman Godfrey LLP, Houston, TX 77002 Harry P Susman, Esq. Inc. Susman Godfrey LLP, , 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: * Please make sure you speck the hours ofavailabilityfor each date 1. 2. provided 6e. 10/18/04 between 9:00 a.m. and 2:00p.m.) 3. 4. 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 ARBITRATOR RANKING FORM Case ID: 09-00979 Case Name: Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector Public Chairpersons Arbitrator ID 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 Party Ranking/Struck Dora Lassinger Harold Webb Richard Dannenberg Pamela Roderick Alice Lee-Getman John Kennedy Peter Trinkle Edward Toptani Non-Public Arbitrators Arbitrator ID Arbitrator Name Party Ranking/Struck Mark Egert James Berliner • Brian Neville Andrew Donovan Antonio Concepcion R. Garley Larry Befeler Kevin Naughten 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: Please Print Name on behalf of: Signed: Staff ID: LeeC 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 ARBITRATOR Name: Ms. Leona Beane 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 01/1984 Present Leona Beane Attorney 09/1978 12/1999 Baruch College C.U.N.Y. Professor of Law EDUCATION Start Date End Date School Decree 09/1964 05/1968 New York Law School JD 09/1962 05/1964 Columbia University MS 09/1959 05/1962 City College MBA 09/1955 05/1958 City College BBA TRAINING Completed Description Details Firm/School Hours Location 02/8008 Mediation Training Creating Settlement Federal District Court 2 Brooklyn, NY Opportunities at Eastern District Pre-Mediation 06/2009 Expungement - 2008 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 Dispute Resolution 13 Durham, NC for Mediation Institute 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 Training 04/2007 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 NASD 1.5 (online) mini-course 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 Guardianship Gerontology Mediation 06/2001 Additional Securities NYCLA ADR 6 New York, NY Training Essential Skills in Arb. 03/2001 Mediation Training ABCNY/JAMS Conflict 27 New York, NY Resolution. Workshop 01/2001 Non-Securities Related NYSBA - Alternative 3 New York, NY Training Dispute Resolution 06/1999 Mediation Training NYCLA 24 New York, NY Mediation/Commercial 04/1999 Additional Securities NYCLA Securities 1.5 New York, NY Training Arbitration 06/1997 Mediation Training Supreme Court 3 New York, NY NYC/JAMS Med. Workshop 03/1993 Additional Securities AAA Securities 3 New York, NY Training Arbitration Training 09/1992 Non-Securities Related AM Advanced 3 New York, NY Training Arbitration Training 09/1992 Non-Securities Related AAA Basic Arbitrator 3 New York, NY Training Training DISCLOSURE/CONFLICT INFORMATION Type Firm Name Details Has an account with UBS Financial Services Inc. PaineWebber I am a client of Wechsler and Cohen Has published "Mat Is Mediation and How Does It Work?" Article 10/29/2007 Was Arbitrator for AAA Is a Member of Bar Association American Bar Association Dispute Resolution Section Is a member of American Judges Association Has published Deskbook, NYSBA 2008 Chapter 26, Mediation (New York Lawyers) Mediator for E.E.O.C. Had an account with Gruntal & Co., L.L.C. Ryan Beck & Co. Had an account with J. B. Hanauer & Company Had an account with Janney Montgomery Scott LLC Had an account with Merrill Lynch Pierce Fenner & Smith Mediator for N.C. Dispute Resolution Commission Certified Arbitrator for NY County Lawyers Association Attorney Fee Disputes Is a member of NY County Lawyers Assn. Chair, ArbJ ADR Committee (4 yrs) Is a member of NY Womens Bar Association Co-Chair, Trusts & Estates Licensed to Practice Law in NYS Federal Court Southern & Eastern District Is a member of National Academy of Elder Law Attorneys Is a member of National Association of Women Lawyers Former President Arbitrator for National Futures Association Mediator for New Jersey Superior Court Staff ID: LeeC Page 4 of 75 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. 02/05/2009 etal 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 unti