Apr 11-present

COUNTY OF NEW YORK: COMMERCIAL DIVISION. EVOLUTION CDCSPV LTD.; EVOLUTION MASTER FUND LTD., SPC, SEGREGATED PORTFOLIO M; and E1 FUND, LTD., Plaintiffs, - against - CDC CORPORATION, Defendant. Udbex Bi, 650749/2009 (IAS Part 53, Ramos, J.). Retained by Defendant in New York dispute over customs and practices of new issue, private placement market executed under Regulation S. Submitted export report; deposed by plaintiff's attorney.

Aug 10-present

UNITED STATES DISCTRICT COURT, SOUTHERN DISTRICT OF NEW YORK. BISON CAPITAL CORPORATION, Plaintiff - against - ATP OIL & GAS CORPORATION, Defendant. Civil Action No. 10 CV 714 (SHS) (AJP) ECF. Retained by defendant in New York claim for investment banking fees. Submitted expert report; deposed. Court awarded plaintiff judsgement of approximately 1.92% of amount sought; plaintiff has appealed.

Jul 10-present

UNITED STATES DISTRICT COURT, MIDDLE DISTRICT OF FLORIDA, TAMPA DIVISION.  UNITED STATES OF AMERICA v. PAUL ROBERT GUNTER, ZIBIAH JOY GUNTER, LAWRENCE S. HARTMAN, RICHARD SINCLAIR POPE, SIMON ANDREW ODONI, ROGER LEE SHOSS and NICOLETTE LOISEL. CASE NO. 8:08-cr-172-T-26EAJ.  Retained by defendant Paul Robert Gunter, indicted on one count of conspiracy to commit mail and wire fraud; one count of conspiracy to commit wire fraud; one count of money laundering conspiracy; 14 counts of illegal monetary transactions; 10 counts of mail fraud; 9 counts of wire fraud. Expect to testify at trial.

May-Dec 10

THE UNITED STATES DISTICT COURT, SOUTHERN DISCTRICT OF FLORIDA (West Palm Beach Division). Case No. 09-80910-CIV-RYSKAMP/VITUNAC.  Michael Krawitz, Plantiff, v. Digital Angel Corporation, Defendant.  Retained by defendant in Florida dispute over alleged impact of reverse stock split on terms of executive officer's separation agreement.  Submitted expert report; deposed, rebuttal report and testified at trial. Jury found for Defendant.

May-Jun 10

UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF FLORIDA.  Case No. 08-20071-CR-JORDAN. UNITED STATES OF AMERICA vs. MICHAEL LAUER, MARTIN GARVEY, ERIC HAUSER, LAURENCE ISAACSON, and MILTON BARBAROSH, Defendants.  Retained by counsel for defendant Isaacson (and funded by administrative office of the Court), indicted on one count for Conspiracy to Commit Wire, Mail and Securities Fraud and six counts of Wire Fraud.  Testified at trial on issues related to investment banking practices, shell corporations, reverse mergers and special purpose acquisition corporations ("SPACs"). Court dismissed count 7; jury hung on counts 5,6; not guilty counts 2,3,4; guilty count 1.

Mar-Sep 10

UNITED STATES SECURITIES AND EXCHANGE COMMISSION. In the Matter of: ROCKWOOD HOLDINGS, INC.  File No. HO-11066-A.  Retained by respondent in New York dispute over alleged violation of SEC Rule 105 of Regulation M in regard to registered secondary and follow-on underwritten public offerings.  Submitted declaration of expert opinions. Case settled.

Aug 09-present

SUPREME COURT OF THE STATE OF NEW YORK, COUNTY OF NEW YORK. EBC I. INC., f/k/a ETOYS, INC., BY THE POST-EFFECTIVE DATE COMMITTEE, Plaintiff, -Against- GOLDMAN, SACHS & CO., Defendant. Index No. 601805-2002. Retained by plaintiff in New York dispute over duties/loyalty of lead manager of IPO to issuing company and over pricing of IPO. Submitted expert report, deposed; submitted rebuttal to opposing experts' reports/testimony; and expect to testify at trial. Defendant granted summary judgment; plaintiff filed appeal.

Sep 08-Mar 09

CPR INSTITUTE FOR DISPUTE RESOLUTION. In the Matter of Arbitration Between BARRY E. MUKAMAL, AS LIQUIDATING TRUSTEE AND DIRECTOR AND OFFICER TRUSTEE OF FAR & WIDE CORP. ET AL. Claimant, v. ERNST & YOUNG LLP Respondent. Retained by claimant in Florida dispute over alleged professional malpractice and breach of duty of care to certain Debtors. Deposed; submitted expert report and testified at hearing. Panel dismissed claim on merits.

Jul-Sep 08

AMERICAN ARBITRATION ASSOCIATION. In the Matter of an Arbitration between: B.V. JAGADEESH; RICK BOLANDER; NETSCALER, INC.; NCAR, LLC; and GABRIEL VENTURE PARTNERS L.P., Claimants and Counter–Respondents, and MICHEL K. SUSAI, Respondent and Counter–Claimant. No. 74 166 01 039 07 DECR. Retained by respondent in California dispute over alleged improprieties preceding and surrounding negotiation of separation agreement of founder/CEO coincident with venture capital investment and ultimate sale of entity. Deposed by claimant’s/counter–respondent’s attorneys. Case settled confidentially pre–hearing.

Jun-Jul 08

VIRGINIA: IN THE CIRCUIT COURT OF THE CITY OF RICHMOND, John Marshall Courts Building. LUNA INNOVATIONS INCORPORATED, Plaintiff, v. GOODMAN & COMPANY, L.L.P., Defendant. Case No. CL 07–4430–4. Retained by defendant in Virginia dispute over claim for monetary damages from alleged delay in completion of initial public offering. Submitted preliminary expert report. Case settled pre–trial.

Feb-Jul 08

SUPREME COURT OF THE STATE OF NEW YORK, COUNTY OF NASSAU. MARC A. PERGAMENT, the Chapter 7 bankruptcy trustee for the Estate of AMERICAN BIOGENETIC SCIENCES, INC., Plaintiff,–versus–ALFRED J. ROACH, RONALD I. HELLER, DAVID S. NAGELBERG, KENNETH J. KOOCK, MARTIN H. MEYERSON, M.H. MEYERSON & CO., INC., LAWRENCE KUPFERBERG, in his individual capacity and as trustee of the RACHEL BETH HILLER 1997 TRUST and THE EVAN TODD HELLER 1997 TRUST, DONEHEW FUND LIMITED PARTNERSHIP, ROBERT DONEHEW, R. DAVE GARWOOD, DAVID BIGGS, TYLER RUNNELS, KEVIN CHAROS, ANTHONY CHAROS, DELAWARE CHARTER GUARANTY AND TRUST COMPANY, in its capacity as trustee of the RONALD HELLER IRA, DAVID S. NAGELBERG IRA, and the MARTIN H. MEYERSON IRA, JACQUELINE KNAPP, JANICE HALLE–NESSES JOHN DAVIES, INVEST, INC., and PETER W. JANSSEN, Defendants. Index No. 01–16425. Retained by defendants in New York state dispute over conduct and outcome of private equity financing. Composed draft expert report. Case settled pre–trial.

Feb 08-present

IN Re: MATILDA SPUNT TRUST / ARLENE R. SPUNT, Plaintiff, v. GERALD A. SPUNT, as Trustee of the Trust of Matilda M. Spunt, MEREDITH FAY SPUNT COHEN, EMILY ANNE SPUNT YEMINI, ADAM ELLIOTT SPUNT, Defendants. IN THE CIRCUIT COURT OF THE 17th JUDICIAL CIRCUIT, IN AND FOR BROWARD COUNTY, FLORIDA. PROBATE DIVISION. CASE NO. PRC 06–0001738. Retained by plaintiff in Florida dispute over trustee’s administration of testamentary trust. Submitted affidavit of expected expert opinion.

Sep-Oct 07

J GIORDANO SECURITIES LLC d/b/a J GIORDANO SECURITIES GROUP, Claimant, v. MEDICALCV, INC., Respondent. NASD Case No. 06–03568. Retained by respondent in Connecticut claim for an investment banking fee. Case settled pre–hearing.

Dec 06-Sep 07

ADELPHIA COMMUNICATIONS CORP., Plaintiff, v. DELOITTE & TOUCHE LLP, Defendant, v. JOHN RIGAS, TIMOTHY RIGAS, MICHAEL RIGAS and JAMES RIGAS, Additional Defendants. COURT OF COMMOM PLEAS OF PHILADELPHIA COUNTY, PENNSYLVANIA, NOVEMBER TERM 2002. NO. 000598. Retained by Michael Rigas and James Rigas in Pennsylvania dispute over financial disclosure. Submitted expert report and deposed. Adelphia and Deloitte settled pre–trial, and Deloitte dismissed its claims against the Rigases.

Nov 06-Jun 07

CVF SECURITIES, INC. Plaintiff, v. DIGITAL LATIN AMERICA, LLC Defendant. IN THE CIRCUIT OF THE SEVENTEENTH JUDICIAL CIRCUIT IN AND FOR BROWARD COUNTY, FLORIDA. CASE NO. 05–004090–CACE–18. Retained by defendant in Florida claim for an investment banking fee. Completed interrogatory; attended deposition of plaintiff’s expert; and deposed. Plaintiff settled pre–trial.

Feb 06-Mar 07

McMAHAN SECURITIES CO. L.P., Plaintiff,–against–FB FOODS INC., f/k/a FUNNY BAGEL FOOD COMPANY, INC., WILLIAM SALGADO and ALEXANDER SALGADO, Defendants. UNITED STATES DISTRICT COURT, MIDDLE DISTRICT OF FLORIDA, TAMPA DIVISION. Case No.:8:04–CV–1791–T–24–SCB–TGW. Retained by plaintiff in Florida dispute over duties and responsibilities of “finder and facilitator” under financing engagement agreement. Submitted expert opinion. Claims and counterclaims dismissed by stipulation.

Jun 05-present

ALARON.COM HOLDING CORP., Plaintiff, v. WOLIN & ROSEN LTD., Defendant. Case No. 04L9252, Circuit Court, Cook County, Illinois. Retained by plaintiff in Illinois dispute over failed IPO. Submitted indication of expected expert report and indication of expected testimony.

Mar-Jul 05

In re CAPITALINK, L.C., a Florida limited liability company, Plaintiff, v. NATIONAL MEDICAL HEALTH CARD SYSTEMS, INC., a New York corporation, Defendant. IN THE CIRCUIT COURT FOR THE ELEVENTH JUDICIAL CIRCUIT IN AND FOR MIAMI–DADE COUNTY, FLORIDA; GENERAL JURISDICTION DIVISION; CASE NO.: 04–18137 CA 21. Retained by plaintiff in Florida matter over non–payment of M& A fee post client termination of investment banking transaction retainer agreement. Composed draft expert opinion. Defendant settled pre–trial.

Apr-Jun 05

AMERICAN ARBITRATION ASSOCIATION, INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION, International Arbitration Tribunal, In the Matter of the Arbitration between EMPIRE RELATIONS GROUP, INC., Claimant, vs. pSIVIDA LIMITED, Defendant. Retained by claimant in New York dispute over non–payment of finder’s fee. Testified at hearing. Arbitrator found for claimant.

Dec 03-Jun 06

NASD OFFICE OF HEARING OFFICERS, DISCIPLINARY PROCEEDING NO. CAF030007: DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANK PETER QUATTRONE, CRD No.1312126, Respondent. Retained by respondent in California proceeding alleging violations of NASD rules relating to investment banking practices. Submitted expert opinion. Complainant withdrew all charges.

Dec 02-Jun 05

JOHN P. KELLY, Plaintiff, v. NELSON, MULLINS, RILEY & SCARBOROUGH, L.L.P., a foreign limited liability partnership; and GLENN W. STURM, Defendants. IN THE UNITED STATES DISTRICT COURT, MIDDLE DISTRICT OF FLORIDA, TAMPA DIVISION, CASE NO. 8:01–CV–1176–T–27MAP. Retained by defendants in dispute over alleged damages resulting from initial public offering that did not occur. Submitted expert opinion and rebuttal to expert opinion for plaintiff. Deposed by plaintiff’s attorney. Settled confidentially pre–trial.

Sep 02-Mar 03

PROVIDENT INTERNATIONAL SECURITIES, INC., Claimant, vs. DEUTSCHE BANC ALEX. BROWN INC., Respondent. NASD Case No. 01–04132. Retained by respondent in New York dispute over syndicate procedures among fixed income underwriters. Settled confidentially pre–hearing.

Mar 02

CONTINUCARE CORPORATION, a Florida corporation, and CONTINUCARE PHYSICIAN PRACTICE MANAGEMENT, INC., a Florida corporation, Plaintiffs/Counter–Defendants v. JAY A. ZISKIND, an individual, KENNETH I. ARVIN, an individual, TRACY ARVIN, an individual, ZISKIND & ARVIN, P. A., a Florida professional association, NORMAN B. GAYLIS, M.D., an individual, and ZAG GROUP, INC., a Florida corporation, Defendants/Counter–Plaintiffs and CHARLES FERNANDEZ, Additional Counterclaim Defendant. In the Circuit Court of the Eleventh Judicial Circuit in and for Miami–Dade County, Florida; Civil Division; Case No.: 99–26577–CA–27. Retained by defendants/counter–plaintiffs in Florida dispute over alleged breach of contract. Focused on certain provisions of SEC Rule 144 as it pertained to plaintiffs/counter–defendants’ alleged refusal to deliver shares of Continucare Corporation to defendants/counter–plaintiffs. Settled pre–trial.

Jan-Aug 02

In re: PSI INDUSTRIES, INC., Debtor./FELDMAN SHERB ERLICH & CO., P.C. n/k/a Feldman, Sherb, Horowitz & Co., P.C., a New York Corporation, Claimant/Counter–Defendant, vs. BARRY R. SHEAR, the PSI Liquidating Trustee, Objector/Counter–Plaintiff./NOESIS N.V., KARIM BADR, AUDREY BAKER, JOACHIN BRANDS, AARON GOODKIN, MALCOLM GULDEN, COROMIN INC., FANTASIA STIFTUNG, and TEN CATE & CIE, Plaintiffs/Intervenors, vs. FELDMAN SHERB ERLICH & CO., P.C. n/k/a Feldman, Sherb, Horowitz & Co., P.C., a New York corporation, Defendant. IN UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF FLORIDA; CASE NO. 99–33737–BKC–SHF CHAPTER 11 PROCEEDINGS. ADV. NO. 00–3310–BKC–SHF–A. Retained and later terminated by plaintiffs/intervenors in Florida dispute over measurement of damages arising from investment in private placement.

Apr-May 01

JOANNE DE GUARDIOLA, as Custodian for Maria Mercedes de Guardiola, Claimant, vs. PUTNAM LOVELL GROUP, INC., Respondent. American Arbitration Association Case No. 131680067700. Retained by claimant in New York dispute between shareholder and issuing company over valuation/price of respondent’s common stock pursuant to company buy back agreement. Respondent settled pre–hearing.

Mar-Apr 01

JOSEPHTHAL & CO., INC., Claimant, vs. CRUTTENDEN ROTH INCORPORATED, Respondent. NASD Case No. 99–03261. Retained by respondent, regional investment bank, in New York dispute over co–manager and underwriter fee splits of gross spread, underwriters’ warrants and underwriters’ non–accountable expense allowance. Respondent settled pre–hearing.

Oct 00-Mar 03

EMMETT J. HARTY, Complainant, vs. CANTOR FITZGERALD & CO., Respondent. NASD Case No. 99–00824. Retained by complainant, employee of respondent, in New York dispute over certain terms of complainant’s Employment Agreement. Testified at NASD arbitration hearing. Panel found for Complainant.

Oct 00-Apr 01

CRUTTENDEN ROTH INCORPORATED, Claimant, vs. JOSEPHTHAL & CO., INC., Respondent. NASD Case No. 99–02841. Retained by claimant, regional investment bank, in New York dispute over co–manager fee splits of gross spread and underwriters’ warrants. Claimant settled pre–hearing.

Feb-Oct 00

OREZ, LTD., a Bermuda corporation, Plaintiff, vs. FLORIDA GAMING CORPORATION, a Delaware Corporation, and CONTINENTAL STOCK TRANSFER & TRUST COMPANY, a New York limited purpose trust company, Defendants. UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF FLORIDA. Case No. 99–1454. Retained by defendant, central and south Florida operator of jai alai frontons and inter–track pari–mutuel wagering centers, in Florida breach of contract dispute over alleged non–conversion of convertible preferred stock. Plaintiff settled pre–trial.

Aug 98-Jan 00

PRINCIPAL FINANCIAL SECURITIES, INC., and EVEREN CAPITAL CORPORATION, Claimants, vs. RAYMOND JAMES & ASSOCIATES, INC., THOMAS A. JAMES, THOMAS HUDSON, STEVEN H. HAYES, DAVID T. ALDRIDGE, TERRY A. BAKER, JOSEPH EMMERICH, DAVID A. GRAY, PETER A. KITZMAN, MILES C. LUCHTENBURG, TERRY A. McCORMICK, and KYLE R. OWENS, Respondents. NYSE Docket No. 1998–007021. Retained by respondent, NYSE member firm, in Iowa dispute over alleged violation of confidentiality agreement relating to recruitment of sales people. Submitted expert opinion and testified at NYSE arbitration hearing. Panel found for claimants.

Jun-Sep 99

ISLAND TRADING COMPANY, INC., Claimant, vs. FIDELITY BROKERAGE SERVICES, INC., and STEVEN FORTIN, Respondents. NASD Case No. 98–03578. Retained by claimant, diversified investment holding company, in New York dispute over alleged mishandling of sale of large block of securities. Respondents settled pre–hearing.

Jun-Nov 99

MICRO ENHANCEMENT INTERNATIONAL, INC., a Washington corporation, Plaintiff, vs. COOPERS & LYBRAND LLP, a New York partnership, GORDAN BUDKE and RHODA P. BUDKE, and the marital community composed thereof, and PRICEWATERHOUSECOOPERS, LLP, a Delaware limited liability partnership, Defendants. Case No. 97–2–05579–7 in the SUPERIOR COURT of the STATE OF WASHINGTON in and for THE COUNTY OF SPOKANE. Retained by plaintiff, software company, in Washington dispute over alleged non–performance of Big 5 accounting firm with regard to preparation of audited financials for initial public offering. Submitted expert opinion; deposed; and testified in state court. Jury awarded no damages.

May-Oct  99

U.S. ENERGY SYSTEMS, INC., Plaintiff, vs. ENVIRO PARTNERS, L.P., ENERGY MANAGEMENT CORPORATION, HENLEY GROUP, LTD., PENGO SECURITIES CORP., and WOODSTEAD INVESTMENT ASSOCIATES, INC., Defendants. CIVIL ACTION 97 Civ. 1748 (JFK), UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK. Retained by plaintiff, Florida alternative energy company, in New York dispute over alleged breach of contract to deliver securities. Submitted expert opinion and deposed. Defendants settled pre–trial.

Oct 98-May 99

NATIONWIDE STAFFING, INC., Plaintiff, vs. DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, DONALDSON, LUFKIN & JENRETTE INC., DONAL ORR and JULIE SILCOCK, Defendants. CAUSE No. 98–31830 in the DISTRICT COURT, HARRIS COUNTY, TEXAS, 234th JUDICIAL DISTRICT. Retained by defendant, NYSE firm, in Texas case centering on non–completion of initial public offering. Attended deposition of plaintiff’s expert. Settled confidentially pre–trial.

Jul-Dec 98

JOSEPH KANTER and PHIL WANGER–IRA, Claimants, vs. THE PROBITAS FUND, L.P., a Delaware Limited Partnership, PROBITAS ADVISORS, INC., as General Partner of The Probitas Fund, L.P., and CHARLES B. GANZ, individually, Respondents. AAA Case No. 32–180–00303–97. Retained by claimants/ investors in Florida dispute over alleged mismanagement of hedge fund. Submitted expert opinion and testified at AAA arbitration panel hearing. Panel found for defendant.

Mar 98-Apr 00

ERNST SCHRAMAYR, Claimant, vs. BILTMORE SECURITIES, INC. a.k.a. MIDAS INVESTMENT GROUP INCORPORATED; ELLIOTT A. LOWENSTERN, individually and as control person of BILTMORE SECURITIES; RICHARD B. BRONSON, individually and as control person of BILTMORE SECURITIES; ALAN SIEMENS; ESTHER BEHAR; FAS WEALTH MANAGEMENT a.k.a. EXECUTIVE WEALTH MANAGEMENT SERVICES, INC., Respondents. NASD Case No. 99–03613. Retained by claimant in New York dispute centering on IPO purchases. Defendants settled pre–hearing.

Feb-May 98

BEECHWOOD PARTNERS, LTD., Claimant, vs. CONTINUCARE CORPORATION, Respondent. AAA Case No. 32–168–00197–97. Retained by claimant, founder–former owner of significant stake in Florida company claiming fraudulent conveyance of ownership immediately after sale. Submitted expert opinion constructively valuing claimant’s stake. Defendant settled pre–hearing.

Jan-Jun 98

CREDENTIAL SERVICES INTERNATIONAL, INC., Claimant, etc., et al, Plaintiffs, vs. JOHN P. FERRY, an individual, and JOHN N. REES, an individual, Defendants; and JOHN P. FERRY, an individual, and JOHN N. REES, an individual, Counter–Claimants, vs. CREDENTIAL SERVICES INTERNATIONAL, INC., a Delaware corporation; LINCOLNSHIRE EQUITY FUND, L.P., a Delaware limited partnership; LINCOLNSHIRE MANAGEMENT, INC., a New York corporation; CREDENTIAL, G.P., a Delaware limited partnership; STEVEN JOY KUMBLE, an individual; W. JAMES TOZER, JR., an individual; WILLIAM F. WOLFFER, JR., an individual; T.J. MALONEY, an individual; PETER VAN RAALTE, an individual, and ROES 1 through 100, cross defendants. CASE No. SACV 96–960 AHS (EEX) UNITED STATES DISTRICT COURT, CENTRAL DISTRICT OF CALIFORNIA, SOUTHERN DIVISION. Retained by defendant/counter–claimant, ex–COO, in California action centering on fraudulent conveyance of equity ownership of LBO company in IPO registration with SEC. Submitted expert opinion valuing company at varying times post–LBO/pre–IPO. Jury found for defendant/counter–claimant.

Nov 97-Jan 99

HOWARD WEIL LaBOUISSE & FRIEDRICHS, INC., Claimant, vs. DORSEY & COMPANY, INC., Respondent. NASD case No. 96–04758. Retained by claimant, NYSE firm, representing underwriting syndicate, in Louisiana dispute over securities industry new issue syndicate/underwriting practices related to mechanics and contractual obligations of “Agreement Among Underwriters” as employed in firm underwriting of securities. Testified at NASD arbitration panel hearing. Panel found for plaintiff.

Nov 97

In re: FIVE STAR DEVELOPMENT TRUST, Debtor–UNITED STATES BANKRUPTCY COURT IN AND FOR THE MIDDLE DISTRICT OF FLORIDA, TAMPA DIVISION; Chapter 11 Case No. 97–16428–8PI. Retained by debtor claimant, Connecticut golf course development company, in Florida bankruptcy case. Testified in Federal Bankruptcy Court on operation of NASD Bulletin Board stock market. Court ruled for debtor claimant.

Apr 97-Aug 99

FAHNESTOCK & CO. INC., Claimant, vs. WHEAT FIRST BUTCHER SINGER, INC. f|k|a WHEAT, FIRST SECURITIES, INC., SEAN LICHTIG, SCOTT SALISBURY, LYNN STANAVITCH, and MICHAEL STANGO, Respondents. NYSE Docket No. 1996–005828. Retained by respondent, NYSE member firm, in Florida case focused on personnel recruiting/hiring practices. Testified at NYSE arbitration panel hearing. Panel found for claimant from one respondent.

Aug 96-Jun 97

HOWARD F. ZIMMERMAN, Claimant, vs. ADVEST, INC., Respondent. NASD Case No. 96–01270. Retained by respondent, NYSE member firm, in New York case involving disagreement over make up of employee broker finder’s fee in IPO. Plaintiff settled pre–hearing.

Apr 96-Jul 97

PROMOFONE, INC., MOVIEFONE, INC., THE TELETICKETING COMPANY, L.P., and THE FALCONWOOD CORPORATION, Claimants, vs. PACER CATS CORPORATION, Respondent–Counter–claimant. AAA Case No. 13–181–00952–94. Retained by respondent in New York action centering on operation of equity underwriting process as relates to pricing initial public offering. Submitted expert opinion and testified at AAA panel hearing. Panel found for plaintiff.

Jan-Feb 96

BERCHER MANAGEMENT, INC., BROADWAY INTERNATIONAL, DENISTON LIMITED, WINTERPORT HOLDING, Claimants, vs. STRATTON OAKMONT, INC. and IRVING STITSKY, Defendants. NASD Case No. 94–05385. Retained by claimant in New York dispute regarding unauthorized trading. Defendant settled pre–hearing.

Jan 95-Jan 97

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, vs. BILTMORE SECURITIES, INC., RICHARD BRONSON, ELLIOTT LOEWENSTERN, ROBERT ALLEN DENTON, KENNETH THOMAS TRIPOLI, ALEXANDER FITZGERALD BARLETTA, LEE MICHAEL ROUGH, JEFFREY PETER MORRISON and MARC SIDEN, Defendants. CIVIL ACTION No. 93–6837–CIV–GONZALEZ. Retained by United States Securities and Exchange Commission, as plaintiff, in Florida action involving alleged violation of rules 10b–5 and 10b–6 of Securities Exchange Act of 1934. Composed informal expert opinion and deposed. Defendants settled pre–trial.

May-Jun 95

ROBERT M. BRITTINGHAM and JOHN G. BRITTINGHAM, Claimants, vs. GOLDMAN, SACHS & CO. and STEVEN ADAMS, Respondents. NASD Case No. 93–01956. Retained by claimant in Texas dispute regarding suitability of securities purchased and disclosure of potential risk of such securities to claimant by respondent, major global investment bank. Testified at NASD arbitration panel hearing. Panel found for respondent.

Mar 95

SUSAN D. GEDDIE, GAYLE N. FINE, CLARK FIND and RICHARD CASEY vs. NEVERLAND, JONATHAN STERN, JON F. S. GOTTESMAN, MELVIN A. REISER, CHARLES HINTON, THOMAS L. BUSBY, DONALD L. PARKER, MARK TAPIA and LADENBURG THALMANN. CV 1992 – 2845 Judge Price. Circuit Court, Montgomery County, Alabama. Retained by a defendant, NYSE member firm, in Alabama dispute over merger and acquisition transaction; assisted counsel in preparation for cross examination of plaintiff’s “expert” and offered expert advice in support of defendant’s actions in keeping with standard professional corporate finance operating procedure. Defendant settled pre–trial.

Feb-Sep 95

DOUGLAS L. WEST, Claimant, vs. BILTMORE SECURITIES, INC., RICHARD BRONSON, ELLIOTT LOEWENSTERN, KENNETH THOMAS TRIPOLI and MARC SIDEN, Respondents. NASD Case No. 95–01320. Retained by claimant in Florida dispute over IPO purchases. Defendant settled pre–hearing.

Jan –Sep 95

LEONARD BRESLOW and VICKI BRESLOW, JTWROS, Claimants, vs. BILTMORE SECURITIES, INC., RICHARD BRONSON, ELLIOTT LOEWENSTERN, ROBERT ALLEN DENTON and BRIAN GREG KULUNGIAN, Respondents. NASD Case No. 94–01443. Retained by claimant in Florida dispute over IPO purchases. Defendant settled pre–hearing.

Jan-Nov 88

ORLETT, ET AL. v. CINCINNATI MICROWAVE INC., ET AL. 894 f.2D 1336 (S.D. Ohio 1990). Defendant retained Paine Webber Incorporated in Ohio dispute over founder–control shareholder’s tender of shares into company tender offer for common stock. Testified in federal court. Court found for defendant.

Jan-Feb 11

In Matter of Arbitration Between: Bearson Dairy, LLC, et al. v. Questar Capital Corporation et al. Consulted with attorneys for Defendant.

Dec 08-Mar 09

UNITED STATES DISTRICT COURT, CENTRAL DISTRICT OF CALIFORNIA, WESTERN DIVISION. IN RE COUNTRYWIDE FINANCIAL CORPORATION SECURITIES LITIGATION. Lead Case No. CV 07–05295 MRP (MANx). CONSOLIDATED AMENDED CLASS ACTION COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS. Lead Plaintiff Thomas P. DiNapoli, Comptroller of the State of New York, as Administrative Head of the New York State and Local Retirement Systems and as Trustee of the New York State Common Retirement Fund, and Lead Plaintiff New York City Pensions funds. Consulted with attorneys for Lead Plaintiff.

Nov 07-Feb 08

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. CANEUM, INC., a Nevada Corporation, Plaintiff, vs. BARRON PARTNERS LP, a Delaware limited partnership, and Does 1 through 25, inclusive, Defendants. 07 CIV. 7354. Consulted with attorneys for Plaintiff.

May-Jul 07

UNITED STATES DISTRICT COURT DISTRICT OF COLUMBIA. In re Federal National Mortgage Association Securities, Derivative, and “ERISA” Litigation. MDL No. 1688. And, In re Fannie Mae Securities Litigation. Consolidated Civil Action No.: 1–04–CV–01639. SECOND AMENDED CONSOLIDATED CLASS ACTION COMPLAINT FOR VIOLATIONS OF FEDERAL SECURITIES LAWS. And, UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA. In re FANNIE MAE DERIVATIVE LITIGATION. Master File No. 1:04–CV–01783–RJL. FIRST AMENDED CONSOLICATED VERIFIED SHAREHOLDERS’ DERIVATIVE COMPLAINT FOR BREACH OF FIDUCIARY DUTY, ABUSE OF CONTROL, GROSS MISMANAGEMENT, AND VIOLATIONS OF THE SARBANES–OXLEY ACT OF 2002, SEEKING EQUITABLE RELIEF AND DAMAGES. And, Report of Findings to Date. Special Examination of Fannie Mae. Office of Compliance, Office of Federal Housing Enterprise Oversight. September 17, 2004. And, UNITED STATES OF AMERICA OFFICE OF FEDERAL HOUSING ENTERPRISE OVERSIGHT. Notice Number 2006–1. In The Matter Of: FRANKLIN D. RAINES, J. TIMOTHY HOWARD, LEANNE G. SPENCER. Consulted with attorneys for Franklin D. Raines.

Apr 06-Jun 08

BANK OF AMERICA CORP. v. SR INTERNATIONAL INSURANCE CO. LTD., subscribing to Policy Nos. QA 626901, QA 628801 and QA 628901. Case No. 05CVS5564. And, UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK IN RE WORLDCOM, INC. SECURITIES LITIGATION. Class action complaint; lead plaintiff Alan G. Hevesi, Comptroller of the State of New York, As Administrative Head of the New York State and Local Retirement Systems and As Trustee of the New York State Common Fund. Master File No. 02 Civ. 3288 (DLC). Consulted with attorneys for SR International Business Insurance Company, Ltd. and Kemper Indemnity Insurance Company.