Education and Work Experience

• - B.A. College of William and Mary – 1974

• - J.D. with highest honors – University of Maryland School of Law – 1979

• - Admitted to practice in State and Federal Courts in Maryland and Fourth Circuit

• - AV-rated attorney in private practice for 25+ years

• - Headed Securities Litigation Practice at Saul Ewing LLP

• - Headed Litigation and Regulatory at Legg Mason, Inc. from 2005 – 2015 (Deputy General Counsel) – retired October 2015

Professional Qualifications

• - Successfully completed 40-hour Mediator Training (2010)

• - Successfully completed  ABA Advanced Mediator Skills Training (2015)

• - Participated as attorney representing all sides and as corporate representative in dozens of mediations

• - Tried, supervised and managed over 1,000 cases in 36 year career, representing defendants and plaintiffs in all types of cases in the securities industry -- from small customer cases to class actions

• - Served as NASD/FINRA arbitrator (prior to joining Legg Mason)

• - Trained NASD arbitrators to handle employment discrimination cases following Supreme Court ruling in Gilmer v. Interstate-Johnson Lane

• - Founded the “Recruiting and Raiding Conference” in 2003 – now known as the Fisher and Phillips Broker Recruitment Conference

Subject Matter Expertise

• - Special strength in damages issues

• - Specialized expertise in customer cases, recruiting and raiding cases, and matters involving mutual funds and 40-Act Advisers (Legg Mason is primarily a mutual fund company and 40-Act adviser).

• - Substantial experience in employment matters