DS9 Document EFTA00584971

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