EW #612 Since 1980, the principals  have provided litigation support in civil litigation (bench and jury trials), Exchange, NASD, AAA and NFA arbitration, and Federal Reparations Proceedings.

Analytical Capabilities - The principals have supported investment and trading dispute resolution since the late 1970's. We perform portfolio and trading-pattern analysis, provide "usual and customary" evaluation, ratification, compliance oversight analysis, suitability evaluation, and industry rules and regulations compliance.

Case Evaluation
Our years of "hands on" industry experience makes us particularly effective in case evaluation. We usually "know where to look, and what to look for", to develop an opinion about the merits and the probable outcome of a pending action or defense.

Litigation / Arbitration Support
Our work has been in support of both defense and plaintiff / claimant parties to disputes, nationally. We produce exhibits and other collateral material designed to simplify that which are often highly complex and arcane systems, procedures, and methodology.

Emerging Area of Controversy - "Financial Suicide"
Our firm is experienced in evaluating situations involving the emerging area of so-called financial suicide. We have analyzed, and in separate and distinctly different cases, have consulted / provided testimony in defense as well as claimant argument.

EMPLOYMENT:
Merrill Lynch Pierce Fenner & Smith - '69
Loewi & Company - '73
Blunt, Ellis & Loewi Incorporated (Name change)
Kemper Corporation (successor company) - '88
Investors Fiduciary Corporation (subsidiary)
London Investment Trust ("LIT") - '91
Internationale Nederlanden Gruppe ("ING") / Baring Bros - 94
LIT Division of Speer Leeds & Kellogg - '97

EXPERIENCE:
NYSE/NASD Registered Representative
NFA Associated Person / Branch Manager
NYSE Branch Office Manager, Securities & Futures
NASD Principal
Regional Manger - recruiting, training, marketing & supervision of Registered Representatives
Executive Vice President, Kemper - divisional and P/L resp.
Chairman - Investors Fiduciary Corporation (Trust Company)
Correspondent Services - execution, clearance, account carrying; omnibus and fully-disclosed
Consultant to major AsiaPacific institutions, instructing key employees in year long programs - trading capital and derivative markets
Trained more than 500 brokers
Wrote compliance and procedures manuals
Corporate finance - underwriting, private placement, merger acquisition, divestiture

FORMER MEMBER:
Chicago Board of Trade, Chicago Mercantile Exchange, Chicago Board Options Exchange, International Monetary Market, MCE, INTEX, Association of Certified Fraud Examiners -(securities)

FORMER DIRECTOR:
National Futures Association, Loewi Financial Companies (predecessor firm to Kemper, Everen), Investors Fiduciary Corp.

ARBITRATOR:
Exchanges, NFA, Appellate panelist

REGISTRATIONS:
S-3 (Commodities futures); S-7 (General Securities); S-8 (Sales Supervision); S-8 (NYSE Branch Manager); S-24 Securities Principal); S-52 (Municipal); S-63 (States' Blue Sky); All granted between 1969 and 1980.

DISPUTE RESOLUTION EXPERIENCE:
Civil litigation (bench and jury trials); Exchange, NASD, AAA and NFA arbitration; federal reparations proceedings.

SUMMARY:
Continuous employment in the securities and derivatives industry since 1969. Progression of responsibilies from account executive to executive vice president; training, managing, and supervising most facets of investment and trading, including product development and marketing; Corporate finance.