DAVID E. SPALTEN

**** **** ***** ***** ****, NW

Suite 446

Atlanta, Georgia 30327

770-***-****

ade6qp@r.postjobfree.com

Summary: Litigator with over thirty years of complex commercial litigation practice seeking a partnership or of counsel position with a regional, national or international law firm. I have served as national litigation counsel to national and international private equity and financial services firms and have extensive trial, arbitration, regulatory and appellate experience in various state and federal jurisdictions. Martindale Hubbell ranking: AV Preeminent. Education Emory University School of Law Juris Doctor, May 1983 Atlanta, Georgia

Faculty, Emory University Trial Techniques Program, 1996-2002 National Moot Court Team: Semi-Finalist, Region V, 1983 National Moot Court Competition Tax Moot Court Team: Finalist, 1982 National Tax Competition; ranked 3 of 70 Alfred University B.A., Biology, May 1978

Alfred, New York

Bar Admissions Georgia, 1983; New York, 1986. Admitted to all trial and appellate jurisdictions in Georgia and New York, U.S. District Courts for the Northern and Middle Districts of Georgia, Tenth and Eleventh U.S. Circuit Courts of Appeals and U.S. Tax Court. Legal Employment

Law Offices of David E. Spalten, Atlanta, Georgia October 2017 – Present Commercial litigation practice including securities, private equity, contract, employment and unfair competition litigation and arbitration in federal and state courts.

Counseling a prominent private equity group regarding a $150 million legal malpractice damages claim and counsel of record in New York Supreme Court proceedings stemming from client’s $350 million equity sponsorship and mezzanine debt acquisition agreement.

Represent principal shareholder in financial services book and motivational seminar publishing company in shareholder and intellectual property protection issues.

Counseling physician clinical research group re conflict of interest and restrictive covenant aspects of their formation and start-up of a foreign research entity while employed with a national medical research corporation.

Counseling principal debtholder in connection with debt-to-equity conversion options and management of defense industry and construction portfolio company.

Preparing to file complaints (2) to enforce prenuptial agreements covering $10.5 million of commercial real estate and other assets and income.

David E. Spalten

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Kasowitz Benson Torres, LLP, Atlanta, Georgia May 2006 – September 2017 Partner in 250-lawyer New York-based complex litigation firm in charge of Atlanta office’s national complex commercial litigation practice. Lead counsel in regional, national and multi-jurisdictional cases. Tried cases and motions, led and managed litigation teams across firm’s several offices. Coordinated case management and budgeting with principals and general counsel at publicly-traded and privately held businesses. Practice comprised of private equity, M&A, securities, securities industry civil and regulatory, partnership, shareholder, corporate governance, commercial torts, statutory unfair competition, intellectual property, restrictive covenant and employment litigation. Merritt & Tenney, LLP, Atlanta, Georgia June 1986 – May 2006 Partner in charge of national commercial litigation practice at high net worth estate planning, tax planning and transactional firm. Extensive practice management, lead trial, mediation, appellate and regulatory defense in the securities, insurance, variable product, medical, telecommunications and IT consulting industries. National litigation counsel for large national broker-dealer, insurance general agency, RIAs, mortgage origination and mortgage servicing companies. Tried, managed and coordinated litigation and insurance coverage of cases in state and federal courts, US Tax Court and AAA and NASD arbitrations. Drafting and judicial enforcement of high net worth matrimonial agreements and trial of contested matrimonial cases. Associate, 1986-1993. Law Offices of J. Christopher Simpson, Atlanta, Georgia August 1984 - June 1986 Associate. Conducted federal and state trial and pretrial litigation practice concentrating in UCC, contract, commercial tort and bankruptcy law, including extensive first-chair trial, hearing and motion practice. Private Legal Practice, Atlanta, Georgia November 1983 - August1984 Conducted pretrial practice and hearings in contract, business tort, zoning, Miller Act and employment cases. Notable Representations

The Yucaipa Companies (prominent California private equity funds) in Georgia, New York, and Delaware Bankruptcy Court suits against CIT, private equity funds and hedge funds in M&A claims for breach of fiduciary duties and breach of a portfolio company’s $350 million loan facility and counterclaims.

The Yucaipa Companies in litigations against a portfolio company’s competitors in commercial tort and conspiracy claims in Georgia and Florida state courts.

A national independent broker dealer and insurance agency in successful state and federal court contractor raiding, unfair competition, trade secrets and restrictive covenant litigation in Florida, Georgia and California.

Successful defense of dozens of related financial services companies and their owners, officers and directors in a

$21 million RICO and fraudulent transfer action.

A complete defense award, including a $250,000 attorneys’ fees award, in favor of a national broker-dealer in a 22-day securities industry arbitration hearing. Case involved claims of raiding, commercial torts and breach of commission contracts.

Successful defense of national RIA and money manager, EARNEST Partners, its CEO, Paul Viera and Director Matthew Bronfman in corporate governance and buy-out litigation.

A RIA and hedge fund group in dismissal of federal Section 10b5 class action litigation in the USDC for the Eastern District of Virginia.

David E. Spalten

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Various investors, firms and registered representatives in hundreds of federal and state court cases, SEC, NASD, FINRA, and state securities industry regulatory investigations, hearings and arbitration proceedings including allegations of insider trading, selling away, unsuitable sales, breaches of contract and retirement provisions, violations of advertising regulations and other claims.

Celanese Corporation in the prosecution of a major theft of industrial trade secrets and employee raiding case and defense of related contract and antitrust counterclaims in Texas federal and state courts, resulting in settlement allowing regular inspection and monitoring of defendant competitor’s Middle-Eastern petrochemical production complex, refineries and technologies.

Successful defense of a director, officer and a related company in a $7 million misappropriation of trade secret and fraudulent transfer case by a shareholder in the industrial manufacturing industry. Obtained summary judgment on all fourteen of plaintiff’s claims and defendant’s counterclaim.

BT Americas prosecuting claims against a national information technology services provider for negligence in software implementation, misappropriation of trade secrets, breach of contract and commercial torts under a network services joint venture and licensing agreement.

Various physicians, medical practices, real estate holding companies and joint ventures in successful statutory unfair competition, contract, corporate governance, intellectual property licensing, trade secret and Lanham Act litigation involving a group of privately held Georgia medical clinics.

Successful defense of taxpayer in US Tax Court resulting in dismissal of IRS claims of transferee liability for over $2 million of income taxes.

Complete defense award in AAA arbitration of product liability and breach of warranty case brought by multiple plaintiffs against designer and manufacturer of digital court reporting machine.

Federal trial court jury verdict including damages and attorney’s fees for a national intellectual property litigation firm against an inventor client for unpaid attorney’s fees.

Represented lead developer of Tysons Corner, Virginia in litigation over enforceability and effect of statutory and contractual land use restrictions in connection with national bank purchaser’s development of global headquarters building.

Successful defense of real estate developer in private nuisance action for demolition of dam resulting in grant of summary judgment for the developer impressing prescriptive flowage easement on plaintiffs’ subservient property and dismissal of plaintiff’s claims for damages and injunctive relief.

Jury award of damages against developers and Gwinnet County for improper and negligent design, approval and construction of residential subdivision resulting in water damage on subservient adjacent property.

Jury award of damages in favor of a builder against steel erection company for negligent construction of a commercial building.

Representation of various builders, contractors, landlords, customers and developers in dozens of construction, engineering, hydrology, lease and land use disputes in Cobb, Fulton, DeKalb and Gwinnett Counties.

Drafting and judicial enforcement of high net worth pre- and postnuptial agreements in various estates valued at between $10 million and $400 million.

Successful trial and pretrial litigation of Nevada and Georgia high net worth divorce actions including claims for division of estates worth between $10 million and $90 million. Reported Cases

Burlison v. McDonald’s Corp., 455 F.3d 1242 (11th Cir. 2006); Legg v. Stovall Tire & Marine, Inc., 245 Ga. App. 594, 538 S.E.2d 489 (2000); Ackerman Sec. Systems, Inc. v. Design Sec. Systems, Inc., 201 Ga. App. 805, 412 S.E.2d 588, Ga App. (1991); City of Atlanta v. Shrader, 185 Ga. App. 691, 365 S.E.2d 449 (1988); Finnegan v. Davidson Co., 184 Ga. App. 537, 362 S.E.2d 117, Ga. App. (1987); Brooks v. Forest Farms, Inc., 182 Ga. App. 901, 357 S.E.2d 604, Ga. App.

(1987).

David E. Spalten

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Panels

Leadership Now podcast: “The Future of Legal”, September 22, 2018: Industry panel discussion re recent legal developments affecting registered investment advisors; presentation regarding legal ethical rules governing attorney conduct in selling financial products and services to clients. Other Experience

Columbia University College of Physician & Surgeons, New York City September 1978 - August 1980 Assistant Research Scientist. Research design and data analysis for psychopharmacology, neurological and neuro- psychology studies; drafted federal investigational new drug protocol; presented at institute’s research design seminar; supervised data collection by clinical research team. Personal: Born: New York, New York. Married, two adult children. References: Available upon request.

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