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,
Mr. Caseyjoined K&K on October 1,2009.
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.
or: about November, 2009, Mandel
appeared as Respondents’ co-
counsel in the Arbitration.
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
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.”
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
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