EFTA00314490Set 9
2009-12-0430p9,885w
Bear Steams Companies, Bear Stearns & Co., : ANSWER
Bear Steams Asset Management, and Warren Spector, :
Respondents.
X
Pursuant to Rule 12303 of the Code of Arbitration Procedure for Customer
Disputes, Respondent ... Warren Spector, by his attorneys Wachtell, Lipton, Rosen & Katz,
respectfully submits this Amended Statement of Answer in response to Claimants' Amended
Statement of Claim.'
PRELIMINARY STATEMENT
Claimants in this action ... Epstein seeks to pin responsibility for certain hedge fund losses on a
single individual — Warren Spector, the former President and co-Chief Operating Officer of
Bear Steams. That either Bear
https://www.justice.gov/epstein/files/DataSet%209/EFTA00314490.pdf
EFTA01125223Set 9
28p6,406w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
2. Settlement Payment ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
I Ku ""'" ALIII12.1
EFTA01125242
IT IS HEREBY STIPULATED AND AGREED, by the parties
https://www.justice.gov/epstein/files/DataSet%209/EFTA01125223.pdf
EFTA01130666Set 9
27p6,225w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
2. Settlement Payment ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
EFTA01130685
IT IS HEREBY STIPULATED AND AGREED, by the parties to this arbitration
https://www.justice.gov/epstein/files/DataSet%209/EFTA01130666.pdf
EFTA00611330Set 9
28p6,423w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
2. Settlement Payment ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
I Ku ""'" ALIII12.1
EFTA00611349
IT IS HEREBY STIPULATED AND AGREED, by the parties
https://www.justice.gov/epstein/files/DataSet%209/EFTA00611330.pdf
EFTA00615375Set 9
29p6,551w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
1.8 "Statements" means ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
Ku """.111311321.2
EFTA00615395
IT IS HEREBY STIPULATED AND AGREED, by the parties
https://www.justice.gov/epstein/files/DataSet%209/EFTA00615375.pdf
EFTA00611303Set 9
27p6,244w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
2. Settlement Payment ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
EFTA00611322
IT IS HEREBY STIPULATED AND AGREED, by the parties to this arbitration
https://www.justice.gov/epstein/files/DataSet%209/EFTA00611303.pdf
EFTA01300739Set 10
2008-01-0115p4,080w
Morgan Securities LLC) and Bear Steams Asset Management Inc. (collectively, "Bear
Steams") and Warren Spector ("Spector" and, together with Bear Stearns, the "Respondents")
(each of Claimants and Respondents is hereinafter ... 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 ... future predecessors, successors, assigns,
partners, agents, shareholders, directors, officers, employees (including without limitation
Warren Spector, Ralph R. Cioffi and Matthew M. Tannin), attorneys, affiliates, parents,
subsidiaries and limited partners
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01300739.pdf
EFTA00731180Set 9
2010-05-2521p4,671w
Arbitrators:
THE BEAR STEARNS COMPANIES,
BEAR STEARNS & CO., BEAR
STEARNS ASSET MANAGEMENT,
AND WARREN SPECTOR
Claimant's Response to The Bear Stearns Respondents'
First Request for the Production of Documents ... burdensome and vague, and is calculated to harass Claimants.
34. All documents concerning Respondent Warren Spector ("Spector").
Response: FTC objects because this request is not calculated to lead ... subject matter
of the Amended Statement of Claim.
Response:
Jeffrey Epstein, Harry Beller, Warren Spector, James Cayne, Ralph Cioffi, Matthew
Tannin, Colin Gordon, and Franklin Collins.
3. Identify each person
https://www.justice.gov/epstein/files/DataSet%209/EFTA00731180.pdf
EFTA00283089Set 9
2011-08-2929p6,749w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
1.8 "Statements" means ... Respondents deliver the
Settlement Payment in accordance with paragraph 2.1 and the release by Warren Spector
("Spector") in favor of the Claimant Releasees in accordance with paragraph ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
EFTA00283110
IT IS HEREBY STIPULATED AND AGREED, by the parties to this arbitration
https://www.justice.gov/epstein/files/DataSet%209/EFTA00283089.pdf
EFTA00724436Set 9
2010-02-0517p3,889w
BEAR Inc. and The C.O.U.O. Foundation, Inc.
STEARNS ASSET MANAGEMENT INC.,
and WARREN SPECTOR,
Respondents.
Pursuant to the NASD Code of Arbitration Procedure for Customer Disputes (the
"Code ... Steams
Companies, Inc., Bear, Steams & Co. Inc., and Bear Steams Asset Management Inc., and
Warren Spector ("Spector") collectively or individually; (b) any of their past and/or present
employees, directors, representatives ... Funds, from January 1, 2001 to the present.
34. All documents concerning Respondent Warren Spector ("Spector").
35. All document concerning communications, from July 1, 2003 to the
present, between Claimants
https://www.justice.gov/epstein/files/DataSet%209/EFTA00724436.pdf
EFTA00597963Set 9
28p5,767w
Ralph
R. Cioffi, Jeffrey M. Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan
Schwartz, Warren Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates,
parents and subsidiaries.
2 Settlement Payment ... Payment pursuant to paragraph 2 1 Respondents shall deliver to Claimants a release by Warren
Spector in favor of the Claimant Releasees in the form annexed hereto as Exhibit ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
I KL3 2,,,,,:-.3ialliala
EFTA00597983
IT IS HEREBY STIPULATED AND AGREED
https://www.justice.gov/epstein/files/DataSet%209/EFTA00597963.pdf
EFTA00316015Set 9
28p5,704w
Ralph
R. Cioffi, Jeffrey M. Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan
Schwartz, Warren Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates,
parents and subsidiaries.
2 Settlement Payment ... Payment pursuant to paragraph 2 1 Respondents shall deliver to Claimants a release by Warren
Spector in favor of the Claimant Releasees in the form annexed hereto as Exhibit ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
I KL3 2,,,,,:-.3ialliala
EFTA00316035
IT IS HEREBY STIPULATED AND AGREED
https://www.justice.gov/epstein/files/DataSet%209/EFTA00316015.pdf
EFTA00726402Set 9
2010-04-0611p1,923w
Arbitraton Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector
Dear Mr. Susman:
This matter has been reassigned to the undersigned, Bola Aguda ... Arbitration Number 09-00979
Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector
Dear Mr. Susman:
Enclosed is a copy of the Initial Pre-Hearing Conference Scheduling ... MATTER OF:
CLAIMANT: Financial Trusty Company, Inc. and The C.O.U.O. Foundation, Inc.
RESPONDENTS: Warren Spector, The Bear Steams Companies, Bear Stearns & Co. and
Bear Steams Asset Management Inc.
CASE NUMBER
https://www.justice.gov/epstein/files/DataSet%209/EFTA00726402.pdf
EFTA00586174Set 9
2011-07-2926p5,667w
Ralph R. Cioffi, Jeffrey M.
Farber, Alan Greenberg, Raymond McGarrigal, Samuel Molinaro, Alan Schwartz, Warren
Spector and Matthew M. Tannin), attorneys, accountants, auditors, affiliates, parents and
subsidiaries.
2. Settlement Payment ... Settlement
Payment pursuant to paragraph 2.1, Respondents shall deliver to Claimants a release by Warren
Spector in favor of the Claimant Releasees, in the form annexed hereto as Exhibit ... COMPANIES INC., BEAR, WITH PREJUDICE
STEARNS & CO. INC., BEAR STEARNS ASSET :
MANAGEMENT INC. and WARREN SPECTOR,
Respondents.
KL1 28311337.J
EFTA00586193
IT IS HEREBY STIPULATED AND AGREED, by the parties
https://www.justice.gov/epstein/files/DataSet%209/EFTA00586174.pdf
EFTA00300203Set 9
20p5,701w
Arbitrators:
THE BEAR STEARNS COMPANIES,
BEAR STEARNS & CO., BEAR
STEARNS ASSET MANAGEMENT,
AND WARREN SPECTOR
FINANCIAL TRUST COMPANY, INC.'S AND THE C.O.U.Q. FOUNDATION'S
AMENDED STATEMENT OF CLAIM ... against The Bear Steams Companies, Bear Stearns & Co., Bear Steams Asset
Management ("BSAM"), and Warren Spector ("Spector") (collectively "Bear Steams"). These
claims arise out of the collapse in the summer ... Fund was created. By early 2007, unbeknownst to the public, the Enhanced Fund,
with Warren Spector being integrally responsible for the fund's risk management, faced serious
liquidity problems
https://www.justice.gov/epstein/files/DataSet%209/EFTA00300203.pdf