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that decision. A copy of an October 14,2008 letter from K&K to FINRA requesting time

to decide is annexed as Exhibit C. Over the next year, including in September 2009,

Respondents repeatedly asked FINRA to put the case “on hold” while they considered

whether to pursue the claims against the individual Petitioners,

  • 21.

    Mr. Caseyjoined K&K on October 1,2009.

  • 22.

    Six days later, by letter dated October 7,2009 and after 12 months without

any activity in the Arbitration, K&K wrote to FINRA that “Claimants intend to proceed

with their claims against [the Petitioners].” A copy of the October 7, 2009 letter from

K&K to FINRA is annexed as Exhibit D.

23.

In

or: about November, 2009, Mandel

appeared as Respondents’ co-

counsel in the Arbitration.

24.

Due to the Afbitration being “on hold” for a year at Respondents’ request,

the case is at an early stage. Pleadings have been exchanged, a panel was recently

appointed and discovery is only now begmning. The Arbitration is scheduled to

commence on February 22,2011, more than ten months from now.

The K&K Law Firm

25.

K&K touts itself as an aggressive litigation law

rm with a focus on suing

large financial institutions: “We do not dilute OUT civil litigation practice by engaging in

general commercial litigation. Our trial lawyers are focused on one goal: to take on large

financial institutions on your behalf and to win.”

See

http://www.kobrekim.corn/practiceareadinstitutional-plaintiffs-litination.htm1

26.

As a number of K&K attorneys are former assistant U.S. Attorneys, the

Firm markets itself as being positioned to gain an advantage for its civil clients by

7

Supreme Court Records OnLine Library - page 10 of 22

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