NORMAN B. ARNOFF Home: 954-***-****

**** ***** ****** *****,******* Beach, Florida 33069 Cell 917-***-****

E-mail: ad1921@r.postjobfree.com

SUMMARY: Commercial law practice in New York City and in governmental legal positions in areas of insurance coverage/defense and professional liability of lawyers, accountants, securities broker-dealers and investment advisers and their representatives. Substantial litigation and appellate experience, including supervision and handling of hundreds of NASD/FINRA and other arbitrations. Regular columnist on professional liability issues for New York Law Journal, and author of articles for Securities Litigaation and Securities Arbitration Commentators, and other publications as well as extensive speaking and published writing on professional liability and securites law topics.

PROFESSIONAL EXPERIENCE

AND REPRESENTATIVE MATTERS:

• Business and commercial litigation experience at all levels, including U.S. Supreme Court, 2d Circuit and various U.S. District Courts. Argued before the U.S. Supreme Court on the first Monday in October 1989, in case involving the issue of law firm liability for sanctions under Rule 11 of the Federal Rules of Civil Procedure, leading directly to an amendment of Rule 11 expressly providing for such liability (Pavelic & LeFlore v. Marvel Entertainment Group, 493 U.S. 120, 110 S.Ct. 456 (1989)).

• Spearheaded creation of a sponsored program of lawyers professional liability coverage for New York County Lawyers’ Association (“NYCLA”), which continues successfully today. Interviewed and selected program manager and insurance carrier. Assisted in drafting of the policy for the program.

• Won frequently-cited, leading insurance coverage case, establishing that the sale of tax shelters by accountants does not constitute professional services covered by accountant’s professional liability policies in New York (George Muhlstock & Co. v. American Home Assurance Co., 117 A.D.2d 117, 502 N.Y.S.2d 174 (1986)).

• Managed large books of customer claims all over the U.S. on behalf of securities broker-dealer clients, including evaluating claims, retaining and supervising local counsel, appearing in arbitrations, supervising consumation of settlements and tracking results.Also served as a mediator and arbitrator in the Prudential Securities Limited Partnership Claims Process in the 1990’s and as a mediator-arbitrator for the Part 137 NYCLA, Attorney-Client Fee Dispute Program.

• Co-Chair and organizer of two Practicing Law Institute (PLI) seminars on legal malpractice in 1998 and 1999, including authoring original articles and editing many others for 1000-plus page program books. Moderated panel of leading experts on legal ethics, lawyers professional liability and lawyers professional liability insurance. In 2009 was invited to speak at the Appellate Division, First Department to the law clerks and law secretaries on the New Code of Professional Conduct for Attorneys in New York effective April 2009 ; in 2010 at the Foundation For Accounting Education (“FAE”) of the NYSS CPA’s; and in 2012 co-chaired at NYCLA its seminars on Legal Malpractice and Its Avoidance, and Lawyers and Accountants, An Interactive Dialogue and Understandings,and was a speaker at two NYCLA Bridge The Gap:For Newly Admitted Attorneys programs on legal malpractice and its avoidance issues.

• Frequent public speaking as seminar panelist on professional liability and securities law topics, having participated as organizer and/or speaker for numerous seminar programs since 1990. In addition to legal malpractice and its avoidance, topics have included intersection of legal and accounting responsibilities in the context of the Enron and Madoff debacles; new legislation such as Dodd-Frank Wall Street Reform and Consumer Protection Act; accounting fraud; professional interdisciplinary and disclosure issues such as going concern qualifications,contingent liabilities,materiality;loss prevention and litigation avoidance for professionals; and securities broker-dealer compliance,mediation and arbitration subjects.

• As Professional Liability Counsel at FDIC, hired and trained counsel and staff to analyze and handle claims on behalf of failed banking institutions against lawyers, accountants and other professionals.

• Periodic expert retentions on professional liability matters.

• Successfully defended lawyer-defendant in a six-week trial in the Southern District of New York, with respect to professional liability and forgery claims against him. After a favorable jury verdict, won appeal in 2d Circuit on Rule 11 sanction issues (Calloway v. Marvel Entertainment Group, 650 F..Supp. 684 (SDNY 1986); on appeal, 854 F.2d 1452 (2nd Cir. 1988)).

• Served as successful plaintiff’s trial and appellate counsel in case that reinforced the principle that a broker-dealer firm must promptly and faithfully execute customer orders; later discussed in Professor Norman S. Poser’s text, Broker-Dealer Law and Regulation (Magnum Corp. v. Lehman Brothers Kuhn Loeb Inc., 794 F.2d 198 (5th Cir. 1986)).

• Won defense verdict for lawyer in a legal malpractice action tried in Supreme Court, N.Y. County, in case regarding a lawyer’s responsibilities with respect to written opinions on the sale of unregistered securities and applicable exemptions.

• Was successful in defense of ophthalmological surgeon erroneously believed to have been a drug abuser, in license restoration proceeding before the Office of Professional Conduct, NYS Department of Health. Represented clients in SEC, State, and NASD/FINRA administrative disciplinary proceedings both at trial and in appeals before the SEC and the National Adjudicatory Council NAC”)

• While at SEC, served as trial counsel in SEC injunctive and administrative proceedings and worked with United States Attorneys’ offices in white collar/financial fraud criminal prosecutions. Conducted three-year investigation of fictitious accounts and manipulative trading of new issue securities, resulting in criminal convictions of firm principals and administrative proceedings revoking licenses of six broker-dealers and barring of 30 salesmen, and Rule 2(e) proceedings against involved lawyer and accounting professionals. Also served as SEC enforcement and trial counsel in Southern District of New York case involving large “Ponzi” scheme affecting over 100 investors in eight states and two foreign countries, which resulted in the first grant of ancillary relief by a U.S. District Court in the context of an SEC injunctive action.

• Qualified as Fellow of the Chartered Institute of International Commercial Arbitrators in 2000. ADR training includes NASD Chairperson’s Training Course for Securities Arbitrators; Mediator’s Training Program, U.S. Bankruptcy Court, SDNY and NASD; Associate Fellowship Course at Chartered Institute of International Commercial Arbitrators, North American Branch at Fordham Law School; Special Fellowship Course at Chartered Institute of International Commercial Arbitrators, North American Branch at Chicago Bar Association; Securities Arbitrator Training Program and Participatory Arbitrator Skills Course, NYSE. Qualified for service on Mediator Panel, U.S. Bankruptcy Court, SDNY. Also received professional training at FDIC Bank Examiner School.

• Bar Association and other professional activities have included: Public Member of Adjudication and Disciplinary Committee for N.Y. Mercantile Exchange{“NYME”} (1999-2010); Chairman, N.Y. County Lawyers’ Association, Professional Liability Committee (1992-1995) ; Member of Federal Courts Committee (1993-present); and Association of the Bar of the City of New York, Professional Liability Insurance Committee (1991-1992); Public Member, Arbitration Committee of NYME (1990-2010) and arbitrator at the NYME for customer-broker disputes; Mediator-Arbitrator Part 137 NYCLA Attorney-Client Feed Dispute Program (2004-present) ;Criminal Justice Act Panel, U.S. District Court, SDNY (1977-1987).

PUBLICATIONS:

• Regular columnist since 1990 for Professional Liability column for New York Law Journal. Authored and/or co-authored over 100 scholarly articles both for this regular column and “Outside Counsel” column on of broad variety of topical ethical and professional liability issues for lawyers, accountants and finacial service professionals including securities law subjects. List of articles and reprints available upon request.

• Organizer and co-author of lengthy chapter entitled “Legal Malpractice and its Avoidance” for West Group’s multi-volume legal treatise, General Practice in New York, the only comprehensive text available that focuses on New York law of legal malpractice.

• Numerous articles published as author or co-author of course materials for Practicing Law Institute, on legal malpractice and securities law topics including :“Due Process in Securities Arbitration” (Securities Arbitration, August, 2002); “Lawyers Professional Liability in the Securities Arbitration Context” (Securities Arbitration, August, 2001); “The Of Counsel Professional Liability Risk” and “An Updated Primer on Legal Malpractice in New York” (Legal Malpractice: Techniques to Avoid Liability, June, 1999); “A Primer on Legal Malpractice in New York” and “Attorney-Client Fee Disputes: The Better Alternative” (Avoiding Legal Malpractice, February, 1998); “Professional Liability Insurance for Securities Broker-Dealers” (Securities Arbitration: Arbitration Comes of Age, July, 1997); Seton Hall Law Review(1994),Secuirities Brokers Malpractice And Its Avoidance,and for the Securities Arbitration and Litigation Commentators including A Professional Liability Insurance Guide For The Investment Professional(2008),the Sentinels,Madoff,and Dodd-Frank Reform,The Cross Hairs Of Accounting and Law:The Vectors of Litigation Risk, and A Fine-Line:The Finder-Broker Distinction(2011-2012)

FIRM AFFILIATIONS AND GOVERNMENTAL POSITIONS:

March 2019 to Present Law office of Norman B.Arnoff, 2651 South Course Drive,Pompano Beach Florida 33069

Msrch 2019 Law Offices of Norman Arnoff Esq.

60 East 42nd Street,New York City New York 10565

April 2005- Of Counsel Burkhart Wexler & Hirschberg LLC

April 2010 585 Stewart Avenue,Garden City New York 10583

Jan. 2002- Of Counsel; Pomeranz Gotlieb & Mushkin, L.L.P.

March 2005 205 Lexington Avenue, 16th Floor, New York, NY 10016

1993-2001 Partner; Capuder Fazio Giacoia & Arnoff LLP (and predecessor firm), NYC,

1991-1992 Counsel, Professional Liability; Federal Deposit Insurance Corporation (FDIC),

Northeast Regional Office, NYC,

1977-1991 Partner; Arnoff & Siskind, P.C. (and predecessor firms), NYC

1974-1976 Associate Attorney; D’Amato, Costello & Shea, New York, NYC

1972-1974 Special Attorney and Special Assistant U.S. Attorney; U.S. Department of Justice, Office for Drug Abuse Law Enforcement (ODALE), Organized Crime & Racketeering Section,

1969-1972 Trial and Enforcement Attorney; U.S. Securities and Exchange Commission (SEC),

New York Regional Office, NYC

EDUCATION:

• New York University School of Law, J.D., New York, NY, February 1969.

• New York University, BA, Bronx, NY, June 1965.

Honors: Phi Beta Kappa; Founders Day Award for Scholarship.

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