• Janca v. Hope Bay Mines, USDC 77-0685-MML Prosecuted federal securities class action arising from unlawful sales of securities of Canadian mining company to U.S. citizens. Fully pretried and settled on eve of trial.

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• Spectrum v. Marconsult, USDC 76-2546,76-2651 Prosecuted federal securities action on behalf of limited partnership arising from sale of interests in oil and gas properties. Summary judgment for defendant acct's firm reversed at (9th Cir., 1979) 608 F.2d 377, Fed Sec L Rep P 97,171, cert den sub nom Harris,Kerr Forster & Co. v. Spectrum, 446 U.S. 936, 100 S.Ct. 2153, 64 L Ed 2d 788 (1980) then affirmed 667 F.2d 1032 (9th Cir., 1981) (unpublished)

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• Schwartz v. Sutro, USDC 84-9630-AWT 10b-5 class action arising out of sale of Garden Grove Community Bank stock. Settled.

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• Rose v. U.S. Oil & Gas, USDC No.________ Rule 10b-5 action for sale of investment advice regarding bidding for government oil leases. Settled.

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• Abercrombie v. Equity Funding, USDC No. _______ Represented a purchaser of Equity Funding stock twenty minutes prior to close of trading. Swept into massive class action proceeding. Settled.

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• Hastings and Volker v. Shearson, USDC _________ Represented plaintiffs against broker in 10b-5 action for misrepresentation in connection with sale of securities. Set- tled.

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• Eichenbaum/Klein v. Shearson, USDC _________ Represented plaintiffs against broker in 10b-5 action for misrepresentation in connection with sale of securities. Settled.

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• Levin v. Hayden Stone, NASD___________ Represented plaintiff in arbitration of dispute regarding propriety of straddled commodity option trades. Compromise verdict.

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• Ashton,Benny v. Murphy, OCSC No. _________ (Co-counsel with George Baltaxe) Represented 39 medical doctors in action against attorney and others for sale of securi- ties in violation of Corporation Commissioner permit provisions. Settled on eve of trial.

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• Aoki v. CIC, USDC _________ (Co-counsel with George Baltaxe) Represented plaintiff trustee in bankruptcy against persons who sold securities in violation of Section 10b-5. Settled after complete pre-trial.

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• Avoian v. Hutton, USDC 88-01765 Represented plaintiff in 10b-5 action for omission to disclose commissions and excessive commissions and churning municipal bond portfolio. Settled.

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• Cord v. Hutton, Putnam GNMA Plus Trust, USDC 87-06116 AWT(Tx) Represented plaintiff in 10b-5 action for unsuitability in the sale of Ginnie Mae mutual fund. Settled.

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• Paxton v. Drexel Burnham, Michael Milkin, LASC NCC 18332G Unsuccessfully sought vacation of arbitration award.

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• Muh v. Newburger, Loeb (9th Cir., 1976) 540 F.2d 970

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• Trivedi v. Hutton, USDC No. 88-3121-AAH Represented plaintiffs in 10b-5 action for failure to disclose risks of naked option sales and spreads. Settled.

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• U.S. v. Bilzarian, SEC v. Landy Represented registered representative of Jeffries & Co. who handled Bilzarian transactions.

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• SEC Administrative Investigation in re Pathe Communications Corporation Represented former CFO of Pathe in SEC investigation; three days of SEC deposition; client not named by SEC in any complaint.

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• Germes v. Pathe Communications Corporation, USDC No. 93-3834 -JGD Declaratory relief action seeking payment of attorney's fees for former corporate officer. Settled on eve of trial.

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