EFTA00726318Set 9
2010-01-2083p25,091w
January 20, 2010
Harry P Susman, Esq.
y LLP
Houston, TX 77002
Subject: FINRA Dispute Resolution Arbitration Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation ... pertaining to
Arbitrator selection is below.
The Code of Arbitration Procedure' provides that FINRA Dispute Resolution will send to the
parties a list of Arbitrators within 30 days after ... case, unless all parties agree
otherwise in writing.
In single Arbitrator cases, FINRA Dispute Resolution will send the following lists to
all parties, depending on the type of claim
https://www.justice.gov/epstein/files/DataSet%209/EFTA00726318.pdf
EFTA00726402Set 9
2010-04-0611p1,923w
April 6, 2010
Harry P Susman, Esq.
y LLP
Houston, TX 77002
Subject: FINRA Dispute Resolution Arbitraton Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation ... April 6, 2010
Harry P Susman, Esq.
y LLP
Houston, TX 77002
Subject: FINRA Dispute Resolution Arbitration Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation ... York, NY 10019-6150
EFTA00726406
Initial Pre-hearing Conference Scheduling Order
FINRA DISPUTE RESOLUTION
INITIAL PRE-HEARING CONFERENCE
SCHEDULING ORDER IN THE MATTER OF:
CLAIMANT: Financial Trusty Company
https://www.justice.gov/epstein/files/DataSet%209/EFTA00726402.pdf
EFTA01300739Set 10
2008-01-0115p4,080w
WHEREAS, Claimants have commenced an arbitration proceeding against Bear Stearns
and Spector with FINRA Dispute Resolution, Inc., entitled Financial Truss Company, Inc. and
The CO.U.Q. Foundation, Inc. v. The Bear ... Stearns Companies, Bear Stearns it Co., Bear
Stearns Asset Management and Warren Spector, FINRA Dispute Resolution Case No. 09-00979,
alleging, among other things, fraudulent inducement, breach of fiduciary duty ... Arbitration. Counsel for Bear Stearns shall not file the Stipulation with FINRA Dispute
Resolution, Inc. unless and until it receives from Claimants' counsel written notice that receipt
and clearance
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01300739.pdf
EFTA00611303Set 9
27p6,244w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et at v. The Bear Stearns Companies ... which the individual acted, executed the instrument.
Notary Public
-19-
EFTA00611321
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00611303.pdf
EFTA01108644Set 9
2011-07-2224p5,239w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et aL v. The Bear Stearns Companies ... individual acted, executed the instrument.
Notary Public
- 18 -
KU 2338357.2
EFTA01108661
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA01108644.pdf
EFTA00586174Set 9
2011-07-2926p5,667w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et al. v. The Bear Stearns Companies ... individual acted, executed the instrument.
Notary Public
- 19 -
KU 23311357i
EFTA00586192
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00586174.pdf
EFTA01130666Set 9
27p6,225w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et at v. The Bear Stearns Companies ... which the individual acted, executed the instrument.
Notary Public
-19-
EFTA01130684
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA01130666.pdf
EFTA00283089Set 9
2011-08-2929p6,749w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et aL v. The Bear Stearns Companies ... which the individual acted, executed the instrument.
Notary Public
- 19_
EFTA00283109
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00283089.pdf
EFTA00615375Set 9
29p6,551w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
EFTA00615375
Trust Company, Inc., et at v. The Bear Stearns Companies ... individual acted, executed the instrument.
Notary Public
- 20 -
KUlviria e+
EFTA00615394
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00615375.pdf
EFTA00611330Set 9
28p6,423w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et at v. The Bear Stearns Companies ... acted, executed the instrument.
Notary Public
-19-
KU " 1ml" =al
EFTA00611348
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00611330.pdf
EFTA01125223Set 9
28p6,406w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
Trust Company, Inc., et at v. The Bear Stearns Companies ... acted, executed the instrument.
Notary Public
-19-
KU " 1ml" =al
EFTA01125241
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA01125223.pdf
EFTA00316015Set 9
28p5,704w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
2.11.1.47.1Magla
EFTA00316015
Trust Company, Inc., et al. v. The Bear Stearns ... acted, executed the instrument.
Notary Public
-20-
KL3 , . 1. 1C7.1211112.1
EFTA00316034
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00316015.pdf
EFTA00597963Set 9
28p5,767w
subject of (a) an arbitration that FTC
and COUQ commenced before FINRA Dispute Resolution, Inc. ("FINRA"), entitled Financial
2.11.1.47.1Magla
EFTA00597963
Trust Company, Inc., et al. v. The Bear Stearns ... acted, executed the instrument.
Notary Public
-20-
KL3 , . 1. 1C7.1211112.1
EFTA00597982
Exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00597963.pdf
exhibit A
FINRA DISPUTE RESOLUTION, INC.
x
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY, INC. and THE
C.O.U.Q. FOUNDATION, INC.,
Claimants,
- and -
STIPULATION OF DISMISSAL
THE BEAR ... Counsel for Warren Spector
-3-
EFTA00284611
FINRA-DR Case No. 09-00979
FINRA DISPUTE RESOLUTION, INC.
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY, INC. and THE
C.O.U.Q
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284609.pdf
EFTA00314490Set 9
2009-12-0430p9,885w
FINRA DISPUTE RESOLUTION, INC.
X
Financial Trust Company, Inc. and The C.O.U.Q.
Foundation, Inc.,
Claimants,
: FINRA No. 09-979
v.
: AMENDED STATEMENT OF
The Bear Steams Companies, Bear Stearns
https://www.justice.gov/epstein/files/DataSet%209/EFTA00314490.pdf
EFTA00724436Set 9
2010-02-0517p3,889w
FINRA DISPUTE RESOLUTION, INC.
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY, INC., and
FINRA No. 09-00979
THE C.O.U.Q. FOUNDATION, INC.,
The Bear Stearns Respondents'
Claimants,
First
https://www.justice.gov/epstein/files/DataSet%209/EFTA00724436.pdf
EFTA00294815Set 9
2002-10-2832p9,752w
FINRA DISPUTE RESOLUTION, INC.
In the Matter of the Arbitration Between:
FINANCIAL TRUST COMPANY, INC., and
THE C.O.U.Q. FOUNDATION, INC.,
FINRA No. 09-00979
Claimants,
v.
STATEMENT OF ANSWER
https://www.justice.gov/epstein/files/DataSet%209/EFTA00294815.pdf