Bar/Professional Activity:

• North American Securities Administrators Association
• California Employment Lawyers Association (“CELA”)
• Member, National Employment Lawyers Association (“NELA”)
• Public Investors Arbitration Bar Association ("PIABA")

Pro bono/Community Service:

• U.S. Securities and Exchange Commission
• California Employment Lawyers Association (“CELA”)
• Financial Industry Regulatory Authority ("FINRA,”formerly known as the“NASD”)
• California Division of Labor Standards Enforcement
• President, Sacramento County Bar Association’s Small Law Practice Section
• Federal Cave Resources Protection Act

Scholarly Lectures and Writings:

• Choosing a Form of Business Entity, 4 Weekly Bulletin, no. 14, pp. 6-7, 1990
• BadInvestmentsandtheMedicalProfession–Parts1and2,43SacramentoMedicine24-26 March and 23-24, April, 1992
• NASD 'Streamlining' of the Arbitrator Pool, 5 The PIABA Quarterly, no. 4, p. 17, December, 1998
• NASD Policy of Granting Certain Causal Challenges by Securities Industry Respondents, 5 The PIABA Quarterly, no. 4, p. 11, December, 1998
• NASD  Lists  of  Arbitrators'  Closed  Cases  Exclude  Cases  Resolved  by  Granting  'Dismissal Motions', 5 The PIABA Quarterly, no. 4, p. 8, December, 1998
• Making, Combating and Replying to Dispositive Motions, PIABA Seventh Annual Meeting, October, 1998
• NASD Intake Staff Harassment of Public Customers,6 The PIABA Quarterly, no.1,pp.8-10, March, 1999
• Understanding NLSS or How I Learned To Stop Worrying and Love List Selection, PIABA Ninth Annual Meeting, October, 2000
• Brief Spotlight:  Your Clients' Right to a Hearing, 9 PIABA Bar Journal, no. 1, pp. 42-47, Spring, 2002
• View from the West:    Getting Paid – Parts 1 & 2 (concerning securities brokers’ liability insurance), 9 PIABA Bar Journal, no. 1, pp. 37-39 (Spring 2002) and no. 2, pp. 55-60, Summer, 2002
• Brief Spotlight:  The Inapplicability of Statutes of Limitation on Actions to Private Contractual Arbitration Proceedings, 9 PIABA Bar Journal, no. 2, pp. 79-85, Summer, 2002
• View from the West:  Causal Challenges and the Chinese Wall, 9 PIABA Bar Journal, no. 3, pp. 11-13, Fall, 2002
• View from the West:  The California Situation:  More Questions than Answers (concerning the battle over California's arbitrator ethics standards), 9 PIABA Bar Journal, no. 4, pp. 47-56, Winter, 2002
• Broker Liability Insurance from the Claimant's Perspective, PLI Securities Arbitration August, 2003
• View from the West:   Should You Challenge an Arbitrator for Cause or Make a Motion or Request for Recusal?, 10 PIABA Bar Journal, no. 1, pp. 71-78, Spring(co-authored with Tracy Pride Stoneman), 2003
• View from the West:  Things Every Arbitrator Should Know, 10 PIABA Bar Journal, no. 2, pp. 21-35, Summer, 2003
• PIABA California Mid-Year Meeting:  Securities Arbitration Update, February, 2003
• Your Clients' Right to a Hearing, PIABA Twelfth Annual Meeting, October, 2003
• View from the West:  Unpaid Securities Arbitration Awards:  Proposed Solutions to the Problem, 11 PIABA Bar Journal , no. 1, pp. 35-50, Spring, 2004
• Broker Liability Insurance in Securities Arbitration, PIABA California Second Annual Mid- Year Meeting:  Securities Arbitration Update, February, 2004
• Maximizing Investor Recoveries:   Errors & Omissions Insurance and Net Capital, PIABA California Third Annual Mid-Year Meeting:  Securities Arbitration Update, (co- authored with C. Thomas Mason III, March, 2005
• Unpaid Awards and Investor Protection: Identifying the Continuing Problem and Collecting What Is Due, PIABA Fifteenth Annual Meeting, (co-authored with C. Thomas Mason III), October, 2006
• Tampering with List Selection by Enhancing the Appointment Frequency of “Chair-Qualified” Arbitrators, 13 PIABA Bar Journal, no. 2, pp. 13-28, Summer, 2006
• Arbitrating at the AAA:  Differences from SRO Arbitration and Other Points of Interest, PIABA Fourth Annual California Mid-Year Meeting, March, 2006
• Stacking the Deck in Arbitrator List Selection: A Study in Regulatory Failure and A Practical Look at the Consequences, PLI Securities Arbitration 2007, August, 2007
• Avoiding the Uncollectible Judgment: Clues at the Case Intake Stage, California Employment Lawyers Association Advanced Wage and Hour Seminar, May, 2009
• Broker Promissory Notes: Economics, Policy, and Offsets under the Wage-and-Hour Laws, PIABA Nineteenth Annual Meeting, October, 2010

Representative Clients:

• Lori Davis, et al v. Apollo Group, Inc., University of Phoenix, Inc., et al, Solano County Superior Court Case Number FCS018663
• In Re Microstrategy Inc. Securities Litigation, U.S. District Court, Eastern District of Virginia, Civil Action Number 00-473-A
• Cliver, et al v. Rainbow Apparel Company, U.S. District Court, Northern District of California, Civil Action Number C 99-4425 PJH
• Morgan Stanley Dean Witter, Merrill Lynch,Paine Webberand Salomon Smith Barney
• Chester  v. iFreedom Communications, Inc., et al, Los Angeles County Superior Court Case Number BC353567
• U.S. Robotics Cases, California Judicial Council Coordination Proceeding Number 4012
• Ahmed Ali, et al, v. Morton’s of Chicago/Sacramento, Inc., Sacramento County Superior Court Case Number 04AS04417
• Ronald Hart and Judy Vezeau v. K Mart Corporation, et al, Los Angeles County Superior Court Case Number BC 347079
• Drew v. HCR Manor Care Medical Services of Florida, LLC, et al., San Francisco County Superior Court Case # GCG-09-490181
• Lee v. Marshalls of CA, LLC, Alameda County Superior Court Case Number RG07337021
• MatrixWage and Hour Cases, California Judicial Council Coordination Proceeding Number 4610
• StopYouthAddictionv.LuckyStores, 17 Cal.4th 553, 950 P.2d 1086, 71 Cal.Rptr.2d 731, 1998
• Lippitt v. Raymond James Financial Services, et al 340 F.3d 1033, 9th Cir. 09/22, 2003
• Lazarin et al. v. Total Western, Inc. 188 Cal.App.4th 1560, 116 Cal.Rptr.3d 596, review denied, Jan. 19, 2011, S188164, 2010

Educational Background:

• UCLA, Magna Cum Laude, Tau Beta  Pi, Omicron  Delta  Epsilon (economics honors society) and Phi Beta Kappa, 1977