Assistant Real Estate

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February 23, 2013

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Joan Stearns Johnsen has extensive experience mediating and arbitrating commercial and employment matters. She has over twenty years experience as an arbitrator and over fourteen years of experience as a mediator.

RESOLUTION EXPERIENCE AND EXPERTISE Comprehensive knowledge of compliance issues, securities and commodities regulations and brokerage firm protocols. Knowledge of trade practice violations including churning, unauthorized trading, suitability, misrepresentation, fraud, and failure to supervise. Extensive experience analyzing various complex trading strategies involving commodities, securities, derivatives, stock options, restricted stock, and commodity futures optionsThorough understanding of margin: including margin on commodities, commodity options, and securities.In-depth knowledge of fixed income, equities, insurance products, mutual funds, futures, options, employee stock options and derivativesCases involving corporate issues including breach of contract, respondeat superior, and agencyClosely held corporate and partnership dissolution mattersBroker to Broker cases involving allegations of raiding, breach of contract, clearing and optionsEmployment cases alleging statutory violations including age, racial, and sexual discrimination, harassment, and retaliation, breach of contract including non-compete agreements, severance negotiations, at will employment, wrongful discharge, constructive discharge, denial of compensation benefits, raiding cases, signing bonus/note disputes, union disputes Knowledge of issues relating franchisee/franchisor, licensee/licensor disputes

MEDIATOR AND ABITRATOR Mediator for the American Arbitration Association (AAA); International Institute for Conflict Resolution and Prevention (CPR); Financial Industry Regulatory Authority (FINRA/NASD); Resolute Systems (Employment Panel); New York Supreme Court, Commercial DivisionArbitrator for the American Arbitration Association, (AAA); Financial Industry Regulatory Authority (FINRA/NASD); and Futures Industry Association (FIA)Arbitrator or counsel in over 100 matters since 1980. Successfully mediated over 700 employment, securities, and general commercial cases since 1995

TEACHING EXPERIENCEVisiting Assistant Clinical Professor, Albany Law School, 2010-2012. Director, Securities Arbitration Clinic. Subjects taught: Securities Arbitration Clinic and Alternative Dispute Resolution, Negotiation. Coach, Securities Triathlon (Negotiation, Mediation, and Arbitration Competition.)

PUBLICATIONS Deal Resolution: The Facilitated Negotiation of Transactions, 30 Windsor Rev. Legal & Soc. Issues 193 (March, 2011) (Reprint) Telephonic Mediation: An Overview, Overview, 1899 PLI/Corp 195 (August 2011).Telephonic Mediation: An Overview, The Neutral Corner, Vol. 3 FINRA (2011).Preparation: Getting There is More Than Half the Fun, ABA Continuing Legal Education (CLE) Alternative Dispute Resolution Advanced Mediation and Skills Seminar (Oct. 2009).Making the Mediation Fair for All: What Should the Parties Expect From Their Mediator, 1755 PLI/Corp 45 (August 2009)Mediation Advocacy: How to Win the Heart and Mind of Your Mediator: Preferring a SlowYes to a Quick No, 1615 PLI/Corp. 11 (August 2007).Telephonic Mediation, ABA Continuing Legal Education (CLE) Alternative Dispute Resolution, ADR in Bloom (April 2007).Deal Mediation: A New Use for An Old Friend, International Mediation Institute, http://imimediation.org/joan-stearns-article The Dreaded Mediation Impasse: Possible Ways of Avoiding It, 11 SUM PIABA B.J. 66 (2004).Telephonic Mediation: What, Who, When and Why, 11 Securities Arbitration Commentator 1 (Jan. 2000).Mediator Friend or Foe, SF 16 ALI-ABA 415 (2000).Mediator Friend or Foe, Using the Mediator to Your Best Advantage, ABA Continuing Legal Education (CLE) Alternative Dispute Resolution: How To Use It To Your Advantage (Oct. 2000).Ten Things Your Arbitrator Would Love To Tell You, But Can’t, 1131 PLI/CORP 573 (August, 1999).Securities Mediation: Point/Counterpoint, Reply to David Robbins Article, 9 Securities Arbitration Commentator 1 (Nov., 1997).

LEADERSHIP AND SERVICE New York State Community Dispute Resolution Center Mediator Ethics Advisory Board, 2011-presentAmerican Bar Association Section of Dispute Resolution: Co-Chair Teleconference Committee, 2010-present; Co-Chair, Negotiation Committee 2011- present; Track Chair, 2009, 2010, 2011. Task Force on Planned Early Negotiation.New York State Division of Human Rights Committee to Review Possible Systems for an Expanded Use of Mediation March 2011 – present.ADR Executive Committee of the Bar of the City of New York, 2008-2011.New York State Section of Dispute Resolution Education Committee 2010- present.

PROFESSIONAL PRESENTATIONS (PARTIAL LIST)Accredited Provider of CLE in New York State: The Seven Deadly Sins of Mediation Advocacy, 2009- present. Among those to whom course presented are: UBS, Citigroup, Merrill Lynch, Burns and Levinson, and Bressler, Amery & Ross.Program Chair and Moderator, Symposium on Collaborative Decision Making, Civil Discourse, and Negotiated Rulemaking in State and Local Government, Panel Prof. John Nolon, The Hon. Bruce Meyerson, Don Ruzow, Prof. Philip Harter, Dean Patricia Salkin, Sponsored by Albany Law School and the ABA Section of Dispute Resolution, November 2011.Speaker, Public Investor’s Arbitration Bar Association, Legal Issues in Mediation, Annual Meeting, Law Day, October 2011.Program Chair and Moderator, What Clients Expect of Mediators, Panel Deborah Masucci, Phillip Armstrong, Suzanne Mann Duvall, ABA, Section of Dispute Resolution, October 2011.Sole Presenter, Deal Mediation, ACR-GNY, New York, New York, June 2011.Sole Presenter, Four Hour Negotiation Skills Seminar, Bar of the City of New York, July 2011.Sole Presenter, The Seven Deadly Sins of Mediation Advocacy, Bar of the City of New York, June, 2010, Web-cast by Westlaw. Faculty, New York State Academy of Trial Lawyers, 2011 to present.Program Chair and Moderator, The Future of Mandatory Arbitration: A Conversation About Dodd-Frank and The Arbitration Fairness Act. Program Chair and Moderator, Point/Counterpoint Caucusing in Mediation, Panel David Hoffman and Prof. Robert Mnookin, ABA Teleconference 2010Program Chair and Moderator, The Brains Behind the Deals, Speaker Richard Birke, ABA Section of Dispute Resolution Teleconference, February 2010Program Chair and Moderator, Settlement Counsel, Bar of the City of New York, November, 2010Program Chair and Moderator, Closing the Deal in Mediation, Bar of the City of New York, December, 2010.Guest Lecturer on Mediation for the Securities Clinic at St. John’s Law School, and Baruch Graduate School of Business, New York, NY, 2007 to 2010 Faculty, American Bar Association, Advanced Mediation and Advocacy Skills Institute, October, 2009Speaker, Mediation in the Context of International Art Law, American Bar Association, Section of Dispute Resolution Annual Meeting, New York, New York, April, 2009 Faculty, Licensing Executive Society, Negotiation Skills, 2009Speaker, Deal Mediation, Volunteer Lawyers for the Arts, New York, NY, January, 2009 Speaker, Deal Mediation, Counselors of Real Estate Annual Meeting, Boston, October 2008Speaker, Deal Mediation, ACR and AAA Conference for Commercial Mediators, September, 2008Program Chair and Moderator, Deal Mediation, ABA Telephonic Web-cast, February, 2008Program Chair and Moderator, Settlement Counsel, ABA Dispute Resolution Section Annual Meeting, Seattle, Washington, April, 2008Speaker, Deal Mediation, Union International des Avocats, Paris, France, October 2007Mediation, State Bar of New York, September 2007Program Chair and Moderator, Telephonic Mediation, ABA Dispute Resolution Section Annual Meeting, Washington, D.C., April, 2007Speaker, Mediation in Securities Employment Matters, National Employment Lawyers Association (“NELA”), June 2002Role-play coach for the NASD/Bankruptcy Court Training in New York, JAMS in Boston and New York, and Volunteer Lawyers for the Arts, 1998-2002Co-Trainer of Mediation Skills for the NASD /U.S. Bankruptcy Court in New York and Phoenix (1997, 1998.)

PRIOR EXPERIENCEAssociate General Counsel, Commodity Exchange, Inc., (COMEX), New York. Counsel to the Membership. Assistant Commodities Counsel, Smith Barney, Harris Upham & Co., Inc., New York. Enforcement Attorney, Commodity Futures Trading Commission, Washington, D.C. Investigated and prosecuted violations of the Commodity Exchange Act.JAMS Panel of Neutrals, New York and Boston. Mediator and Arbitrator.

EDUCATIONJ.D., Case Western Reserve University School of Law, Cleveland, Ohio, Order of BarristersB.A., Northwestern University, Evanston, Illinois, B.A. French Literature and Language

BAR MEMBERSHIPSAdmitted to practice in New York and the District of Columbia (inactive)

LANGUAGES

Proficient in French, knowledge of German

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