EFTA00584971.pdf

1 Biographical Information Pro Con SG Recommendation Public Chair List: Leona Beane • JD from NYU in '68 • No ties to securities • Woman • Strike • Extensive education: industry • Former President of MS from Columbia • Unsophisticated on National Association of (64) & MBA/MS from investment products Woman Lawyers City College (62 & 58) • Probably a strong • Lives in NYC feminist, especially • Law Professor for 20 given her extensive years at Baruch education during 1960s College NYU • Specialize in Guardianship law Richard Herzfeld • JD SUNY, '77. • Some experience as a • Advertises himself on • Strike • LLM in Tax from trial lawyer website as representing NYU '84. broker dealers and • Lives in NYC investment advisors. • Works at Bahn, Does not say he Herzfeld & Muller. represents investors or General practice, shareholders (L e, including both plaintiffs in securities transactional and fraud cases). litigation work. Does • His disclosure says that represent he has broker/dealers in "initiated/defended arbitration and cases" involving Morgan litigation both as Stanley, Salomon Smith plaintiff and defendant Barney, etc. My guess is • Prior legal practice in he has defended them. various firms of little • Does a fair amount of note transactional work Iloward Weitz • Law degree from • Scarsdale Jew • Nothing obvious Brooklyn Law School. • No obvious ties to • Rank '59. securities industry medium • Lives in Scarsdale • Accounting EFTA00584971  Biographical Information Pro Con SG Recommendation • Works for Howard background, so if Weitz PC—own firm. BSAM did funky Has since 1975. accounting, he may • Was an accountant not like it. who went to law • Does not appear to be school at night. Says a super sophisticated his accounting investor background is critical in his legal work. • Claims to have a background doing compliance work for securities issuers and seems fairly sophisticated about investments. But not really clear how extensive this was. Invin Kahn • NYU Law, '58 • Discloses he belongs • Rank fairly • Lives in Wantagh NY to American high. • Worked at Kahn & Association of Horowitz from 1958 Justice—formerly until today. Can find American little evidence of what Association of Trial this firm does. Lawyers (plaintiffs • Advertises himself as lawyer primary lobby specializing in group) arbitration and • No ties to securities mediation. industry • No evidence of specialized securities background Zuhayr Moghrabi • NYU Law School, '67 • No ties to securities • Muslim—probably • Strike [Columbia and Tulsa industry or much pretty conservative for undergrad] sophistication about • Lives in NYC investing • Began his career in the EFTA00584972  Biographical Information Pro Con SC Recommendation oil business as a manager; he had a Petroleum Engineer degree. Then, went to law school. • Work in private practice for his own firm doing transactional work and litigation, but not clear that the practice is active • Primarily appears to teach at NYU on international law, including Sharia law • Formerly Chancellor of a university in UAE Richard • Brooklyn Law, '67 • Spirit of America is a • Direct Association with • Tough call. Weinberger • City College, '63 shady outfit. The a securities firm. In fact, • Lives in Spring Valley, man who runs it is it is not clear why he NY named David Lerner. qualifies to be on the • Director of Mutual He built it by "public" list (which is Fund called Spirit of advertising on the supposed to be folks America Investment radio on Long Island, with no ties to industry) Fund "Take a Tip from • Law firm is defense • 30 years at Sullen, Poppy" invest in oriented Stoll, Bader & Nader. Spirit America, etc. • Significant law Appears to be defense Lemer's firm has run enforcement experience, oriented law firm into trouble with but decades ago and he • 14 years as Bronx regulatory authorities is willing to associate County Asst DA before, and Lerner with Lerner was recently sued for sexual harassment. David Goldblatt • Yale Law, '61 • Classic defense lawyer. • Strike • Antioch College. '58 Defended various EFTA00584973  4 Biographical Information Pro Con SG Recommendation • Lives in NYC securities fraud cases • Retired in 1997 after while in private practice. almost 40 year career at Proskauer Rose • Unclear that he does anything today • Married to another Proskauer Partner— second marriage Michell • JD from St. John's in • No obvious defense • Rank high Friedman 1978 (undergrad bias CUNY) • No experience with • Live in New Hyde securities offerings. Park • Yet, just based on • Works as public decisions, he Administrative Law has been involved in Judge for NYS Office some significant of Disability arbitrations, Assistance (since including one over 1996) Henry Blodget's bs • Since 1991, worked as "research" for ALI for various New intemet stocks. Case York State agencies was dismissed (liquor and labor) without prejudice. • Very familiar with And, awarded $8 labor and employment million in arbitration law but it appears the • Hasn't been in private defendant, who was practice since 1991, bankrupt, did not and even then, worked participate in the for small firms— apparently with a focus on real estate • Been involved in numerous arbtiratoins. EFTA00584974  5 Public Arbitrator Biographical SC List Information Pro Con Recommendation Dora Lassinger • JD from George • No ties to securities • Woman • Strike Washington, '77 industry at all, and • Worked for Virgin (undergrad Clark, likely not Islands AG, but for '74) sophisticated about only one year • Lives in East investments. • All publicly Rockaway available decisions • Private practice involve relatively largely as a solo, small broker focus since 1988 on disputes. However, appellate work and in almost no cases service as arbitrator did she grant any • 1980 (for one-year) relief. worked as prosecutor for the Government of the US Virgin Islands I lal Webb • Law degree from • Says that he served • Significant law • Strike or GW, '59, BS from as co-counsel in a enforcement rank low Univ of Alabama, securities class experience, but '53. action, although he prosecuting people • Lives in NYC doesn't say it for the who commit • Retired since 2002 class or defendants, securities violations. • Spent most his it must have been as • Old. Started college career working for class counsel. in 1949. Might be US Atty Office in pretty conservative. Miami and DOJ. Worked on various white collar crime issues, including a fair amount securities fraud work. • Semi-retired in 1995 EFTA00584975  6 Public Arbitrator Biographical SG List Information Pro Con Recommendation • Went back to work as an Administrative Law Judge for NY City Dep't of Health from 1995-2002, dealing with health and safety code violations • Served in Army from 1953-55 Richard • Yale Law School, • Former firm is a • Rank high Dannenberg '55. plaintiff's securities (only • Duke, '52 fraud class action question is • Lives in Purchase firm whether NY • Interested in this is a • Retired from Lowey Investor Rights waste of Dannenberg— high rank plaintiff's law firm, given than including securities the other fraud class actions side will • Currently, Adjunct surely Professor at Pace strike) University. Serves on Pace Investor Rights Project Pamela Roderick • Not a lawyer • No ties to securities • Woman • Tough • Wheaton College, industry call. '66 • No defense bias Probably • Freelance writer • Probably could for since 1988. Claims unsophisticated us, but for to writ eon business about investments gender. topics. • Loyal Democrat • Lives in Brooklyn EFTA00584976  7 Public Arbitrator Biographical SC List Information Pro Con Recommendation Alice Lee-Getman • Not a lawyer • Woman • Strike • MBA from Wagner, • Spent years as an '86 accountant in • Appears to be from corporate Japan environments. • Spent many years as Likely to be very an accountant at defense oriented-- various companies. conservative John Kennedy • Hofstra Law, '91 • Nightmare for • Strike • Nassau Community JEE—former police College, '72 office, not Jewish. • Former Nassau Probably hates rich County Deputy Jewish investors Commissioner of Police • Worked for police force from 1958- 2002 • Lives in Bayville, NU • Serves as an Associate Village Justice Peter Trinkle • Not a lawyer • Wild card. • Could be very • Rank him • Skidmore College, • Smart guy in late jealous of JEE fairly high '94 30s who has not • Brooklyn, NY found his way in life • Works for Kaplan • Might identify with as an "instructor" JEE's life story. (presumably does • Probably not SAT prep). For sympathetic to Bear past 2-years Steams • "Freelance writer" too. • Hasn't had a real EFTA00584977  8 Public Arbitrator Biographical SC List Information Pro Con Recommendation job since 2003. • Spent first 5-years out of college at John Hancock as a "manager" • Has broker/deal licenses but expired Edward Toptani • Michigan Law, '87. • Plaintiff's lawyer. • Seemingly • Rank high. Undergrad too, '83. • Loyal Democrat sophisticated about • Lives in NYC private placement • Has own firm. Files memos (says he securities fraud occasionally drafts cases, including them) class actions. • Worked as associate for Sherman & Sterling for 4 years • Worked for Robert Torricelli as legislative assist, and for various left- leaning non-profits EFTA00584978  9 Sc Non-public List Biographical Info Pro Con Recommendation Mark figert • GW Law, '87 • Nightmare. He is a • Strike • Lives in NY high-ranking in- • Chief Compliance house lawyer for Officer for Cowen & Co. investment banks. • Legal & Compliance Director for RBC Capital Markets • GC for ABN Amro James Berliner • Not a lawyer • Commercial banker • Strike • Lives in Larchmont, NY who is likely to be • Retired since 2005— very focused on the works for non-profits disclosure language • Started college in 1947, in the Offering so in his 80s. Memo. Probably • Spent 30 years at JP not very Morgan as a commercial sympathetic to banker in various sophisticated person capacities claiming they were defraud since he probably dealt with a lot of borrowers making similar claims, etc. Brian Neville • NYIJ Law, '93 • Despite his past, his • Worked defending • Rank him • His current firm handles current firm is a claims like JEE's high plaintiff's cases plaintiff's firm. involving hedge fund investments gone bad • Started out as an in- house lawyer at Prudential & Josephthal & Ross defending against claims in arbitration, including claims over limited partnership deals EFTA00584979  10 SC Non-public List Biographical Info Pro Con Recommendation gone bad. Andrew Donovan • Not a lawyer • Probably not • Strike • Certified Financial sympathetic to Planner investors who claim • Lives in Mohegan Lake, they were mislead NY by advisors. May • Spent his career as a be jealous of JEE's investment advisor at career as a financial various firms, including advisor to folks. Chase, Kidder, Merrill • Navel career Lynch • Conservative. • Long Naval Career. Was • Not Jewish in the reserves until 2002. Obtained rank of Lt Commander • Westchester County Legislator • Active in 4H and Boy Scouts Antonio • No college education • Might not like the • Probably • Strike Concepcion • Lives in Highstown, NY high flying traders at conservative • Graduated High School Bear Steams • Not Jewish in 1953 • May not like JEE's • Career spent as a trader career path at various no name securities firms—except from 1 year at EF Hutton in the 60s. Appears to have focused on trading "foreign" securities • Retired in 2001 • Proudly describes his military career during the 1950s. Remained in the Reserves until 1969 EFTA00584980  SG Non-public List Biographical Info Pro Con Recommendation Scott Garley • Fordham Law, '81 • Not as obviously • Defense lawyer • Rank • Lives in NYC bad as others in this low— • Partner at Gibbons, Del, group probably Deo, Dolan can't • Appears to focus his waste a practice on representing strike broker dealers in employment disputes with brokers • Firm has various large broker•dealers as clients, including BOA, Citi. Larry Befeler • Not a lawyer • As a compliance • Industry insider • Strike • Univ of New Hampshire, executive, he might • Probably very `86 have spent a career conservative • Worked as a risk watching folks like management and Coffi and Tannin cut compliance executive at corners and ignore various firms. Currently folsk like him VP of Risk Management at National Financial Services, Fidelity Investments. • Worked at UBS (3 years), Oppenheimer (I I years). Kevin Natighten • Not a lawyer • Guy may hate the • Unemployed person • Rank • "LeMoyne College," '67. structure finance may not be very fairly MBA from Bernard folks who brought sympathetic to ]EE high Baruch down the financial • Lives in Douglaston, NY industry. • Unemployed since Dec 2008 • Worked for I I years at Citibank. Is a victim of _ EFTA00584981  12 SC Non-public List Biographical Info Pro Con Recommendation the financial crisis. See http://web.cuny.edu/news /cm-archiveinov09/jump- starting.html • Worked as a "systems analyst" at Citi—not a trader or investment person. • Lists that he had an account with REFCO so he may have lost money them. • From late '70s to late `90s worked a some kind of broker. Has a brokerage license and claims to have extensive experience with "retail and institutional contact." • Served in Army 69-70. EFTA00584982