EFTA00726318

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 
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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 
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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 
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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 
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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 
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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 
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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 
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FINRA Dispute Resolution 
Arbitrator ID.
$taf ID: LeeC 
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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 
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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 
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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 
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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 
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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 
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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 
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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. 
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