AAA Arbitration Awards: Safeguarding, Deciding & Writing An Award (12/11/06)
AAA Commercial Arbitrator Training (09/29/2005)
AAA Arbitrator II Workshop: Advanced Case Management Issues (05/01-02/03)
AAA Commercial Arbitrator Training (02/03/99)
AAA Arbitrator Training (10/92)

NASD Dispute Resolution Revised Code of Arbitrator Procedure Training (04/18/07)
NASD Expungement Training (12/01/04)
NASD Advance Arbitrator Training - Panelist (11/11/98)
NASD Participatory Training - Panelist (02/18/98)
NASD Chairperson Training (01/21/98)
NASD Arbitrator Training - Panelist (06/97)
NASD Arbitrator Training (06/96)
NASD Arbitrator Training - Panelist (05/95)
NASD Arbitrator Training (10/93)

NFA Online Arbitrator Training Seminar (04/07)

Selected Federal Court Cases:

Behrman v. Transamerica Securities Sales Corporation et al., 2006 U.S. App. LEXIS 5889 (11th Cir. 2006) (lower court’s dismissal of multi-count complaint based on parol evidence rule, statute of frauds, and economic loss rule affirmed)

Behrman v. Transamerica Securities Sales Corporation et al., 388 F. Supp. 2d 1346 (S.D. Fla. 2005) (motion to dismiss amended multi-count complaint based on parol evidence rule, statute of frauds, and economic loss rule granted with prejudice)

Behrman v. Transamerica Securities Sales Corporation et al., 2005 U.S. Dist. LEXIS 20128 (S.D. Fla. 2005) (motion to dismiss initial complaint in multi-count fraud and breach of contract case based on numerous common law defenses granted without prejudice)

J.B. Oxford Holdings, Inc. v. Net Trade, Inc., 76 F. Supp. 2d 1363 (S.D. Fla. 1999) (dismissal of trademark infringement case on personal jurisdictional grounds for internet-based brokerage firm).

First Montauk Securities Corp. v. Four Mile Ranch Dev. Co., 65 F. Supp. 2d 1371 (S.D. Fla. 1999) (successfully enforcing customer’s arbitration rights based on broker-dealer’s membership in the NASD)

Ctr. Physicians v. Painewebber Group, 1996 U.S. Dist. LEXIS 22657 (E.D. Mo. 1996) (defendants’ motions to dismiss granted in ERISA and RICO action brought by plaintiff pension plans because employees were not fiduciaries and not subject to personal jurisdiction for some claims)

McCutcheon v. Kidder, Peabody & Co., 938 F. Supp. 820 (S.D. Fla. 1996) (dismissal of several common law claims by securities customer based on economic loss doctrine)

Selected State Court Cases:

Moody v. Scandinavian World Cruises, Ltd., 506 So. 2d 1102 (Fla. 3d DCA 1987) (grant of summary judgment in favor of cruise line upheld on statute of limitations grounds where passenger ticket required suit to be brought within one year after personal injury)

Ginsberg v. Scandinavian World Cruises, 495 So. 2d 849 (Fla. 3d DCA 1986) (grant of summary judgment in favor of cruise line upheld on statute of limitations grounds where passenger ticket required suit to be brought within one year after personal injury)

Schlip v. Oregon Fish & Wildlife Com., 707 P.2d 606 (Or. App. 1985) (challenge on behalf of small salmon commercial fishery to invalidate the Oregon Fish and Wildlife Commission’s escapement goals and ocean harvest quotas set for ocean Coho salmon fisheries of Oregon)

Selected Arbitration Cases:

Moreno v. Legend Equities Corporation, 2005 NASD Arb. 1817 (2005) (no liability of broker-dealer in “selling away” case where former broker was in jail and customer, who was confined to a wheelchair as a result of medical complications, lost personal injury award money within six months of placing it with broker)

Waldrop, et al. v. Coloracci, Muscati, and Prudential Securities, Inc., 2004 NASD Arb. LEXIS 478 (2004) (no liability on claim for damages in excess of $380,000 arising from investment activities in numerous accounts during the technology “bubble”; order of expungement obtained for broker)

Boss et al. v. Krieger Financial Services, Inc., 2004 NASD Arb. LEXIS 104 (2004) (award for negligence and breach of fiduciary duty in excess of $1,000,000 in favor of multiple customer clients; later collected in 2006 through criminal restitution proceedings)

Schulz v. Securities America, 2003 NASD Arb. LEXIS 1276 (2003) (investors awarded recovery of compensatory damages of $1,350,000, punitive damages of $4,050,000 and entitled to recovery of attorneys’ fees against a subsidiary of American Express Financial Advisors where broker was doing business under a stolen identity and was not otherwise properly supervised)

Secor and Puff v. Legend Equities Corporation, 1998 NASD Arb. LEXIS 1649 (1998) (registered representatives denied recovery on claims of commissions and fees owed, broker-dealer awarded relief on counterclaims upon finding that non-solicitation provisions in Sales Representative Agreements were enforceable by successor broker-dealer upon valid assignment of registered representative agreements)

Ourinvest Capital, Inc. v. Prudential Securities, Inc. and Kaufler, 1997 NASD Arb. LEXIS 1595 (1997) (institutional claims arising from reverse-repo transactions in FNMA bonds and complex collateralized mortgage obligations (“CMOs”) in connection with multi-million dollar losses where compensatory award was less than 20% losses; broker was found not liable and awarded recovery of his attorneys’ fees from Claimant in excess of $740,000)

Zinsmeyer Trusts Partnership v. PaineWebber, Inc., PaineWebber Group, Inc., Mitchell Hutchins Asset Management, Inc., William J. Reik, Jr., William D. Witter, Inc., Morgan Stanley & Company, Inc. and Kidder, Peabody & Company, Inc., 1995 NASD Arb. LEXIS 775 (1995) (Claimant, a general partnership composed of several family trusts, was denied relief following 38 hearing sessions on Claimant’s claims arising from concentrated stock investments made on margin and a closed end fund controlled by client, a ‘40 Act investment adviser, who had discretion over inter-related accounts of the Claimant who was seeking over $14,000,000 in losses); See also, PaineWebber Group Inc., et al. v. Zinsmeyer, 187 F. 3d 988 (8th Cir. 1999) (judgment of district court reversed and remanded with direction to grant motion to confirm underlying arbitration award where vacatur was improper on claims that four documents concerning the ‘40 Act investment adviser were erroneously withheld on claims of attorney-client privilege and where finding bias was improper on arbitrator’s comments that the Claimant’s case was taking too long to present)

Tindall v. Salomon Smith Barney and Hanlon, 2002 NYSE Arb. Dec. LEXIS 341 (2004) (broker found not liable on $600,000 claim arising out of stock trading in IRA and variable annuity purchased in IRA)

Shober v. McCullen & Prudential Securities Inc., 2000 NYSE Arb. Dec. LEXIS 149 (2003) (broker and firm not liable to elderly customer on claims regarding bonds, an insurance policy, fixed and variable annuities; order of expungement in favor of broker)

"Where is Podunk and Why are we being sued there?" published by the Florida Securities Dealers Association ("FSDA") in its newsletter, 2000

"The Role of Outside Counsel in Defense of Retail Securities Claims," published in the Practising Law Institute's Securities Arbitration Handbook, 1992

Board Member - The Sanctuary Home Owners Association (2006 - Present)

Member of the President's Citizen Corps - FEMA Community Emergency Response Team