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V. James Mann

V. James Mann, Esq.

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Case Manager
Doug Duzant
T: 212-607-2787
F: 212-228-0222
620 Eighth Avenue , 34th Floor , New York , NY 10018
V. James Mann, Esq. spent 25 years as an in-house attorney with Merrill Lynch and recently retired as Senior Vice President. He represented the broker-dealer, investment banking, institutional trading, and sales businesses. From 1996 to 2003, he had direct responsibility for all litigation relating to Merrill Lynch’s investment banking and institutional businesses in Europe, Asia, Australia, and the Middle East. From 2003 until 2010, he was similarly responsible for litigation involving the firm’s International Wealth Management Division and product and class action litigation relating to the firm's domestic wealth management business.

ADR Experience and Qualifications

  • Possesses extensive ADR experience including successful mediation of international and domestic disputes involving multi-million dollar exposures; managed numerous complex securities class actions, regulatory issues, and litigation claims; tried many NASD arbitrations and reparations proceedings to judgment.
  • Has a deep understanding of the financial and securities industries as well as the laws and regulatory rules governing them
  • During the past 25 years, he has taken a leadership role in many of the most significant issues affecting both Merrill Lynch and the financial industry generally, from the Russian debt crisis, the Orange County, California bankruptcy, and the failure of Enron to the ongoing credit collapse of recent years
  • His responsibility for international disputes over a fourteen year period reflects a sensitivity to cultural differences which allow him to resolve contentious international matters while retaining the goodwill of valued customers, counterparties, and others
  • Played an instrumental role in the settlement of numerous complex disputes, including serving as an advocate or neutral in numerous ADR proceedings

Representative Matters

Banking
  • Developed a restructuring strategy to resolve disputes with various corporate borrowers, whereby borrowers’ cash flows would be modified to conform to their alleged expectations, with minimal P&L impact on the lender
      
Bankruptcy
  • Primary responsibility for all issues relating to litigation brought by investors in the Orange County, California Investment Pool in the wake of the Orange County municipal bankruptcy, as well as litigation filed by various pension and retirement plan investors in the Pool
      
Class Actions
  • Overall responsibility for class action litigation and numerous individual claims relating to limited partnerships, market timing, initial and secondary public offerings of securities, the Enron collapse, the equity market dislocations of 2001-2002, the credit market collapse of 2007-2008, various merger and acquisition disputes, and other financial markets litigation
      
International
  • Resolution of a dispute with a European central government in connection with a transaction intended to hedge the nation’s currency exposure. In addition to successfully negotiating a private resolution of the dispute, Mr. Mann strategically managed complex regulatory issues involving multiple international jurisdictions.
  • Successfully managed and negotiated resolution of a dispute with a major Middle Eastern investment company relating to a multi-currency lending facility created to facilitate securities, options and futures trading, and losses resulting from that trading activity
  • Developed and implemented settlement of various disputes relating to structured loan agreements with various institutional borrowers, primarily located in Central Europe
  • Negotiated a restructuring on behalf of the holders of approximately $100 million in Russian bank debt whereby the holders received new notes and the debtor bank received a substantial infusion of new capital, thereby averting a probable insolvency filing in Russia
      
Securities
  • Devised and implemented a structure to manage and resolve over 400 investor disputes relating to a public limited investment partnership
  • Tried over 50 NASD (FINRA) arbitration proceedings to judgment
  • Tried numerous commodities reparation proceedings to judgment
  • Participated as a party in over 25 successful mediations under the auspices of various forums, including FINRA, JAMS, New York State Courts, and private mediation
  • Participated, either as hearing panelist at the American Stock Exchange or as prosecutor at the National Association of Securities Dealers, Inc., in over 100 disciplinary proceedings against member firms or associated persons
  • Represented Merrill Lynch or associated persons in regulatory investigations before the Securities Exchange Commission, the National Association of Securities Dealers, Inc., and various state regulatory authorities
  • Registered Mediator, United States Bankruptcy Court for the Southern District of New York
  • Office of the Hearing Board, New York Stock Exchange Regulation, Inc., 2009-2010
  • Member, Disciplinary Hearing Committee, American Stock Exchange, 1995-2009
  • Merrill Lynch’s representative to the Bond Market Association, 2001-2003
  • Member , Board of Arbitrators, National Association of Securities Dealers, 1981-1986
  • Member, SIFMA and FIA Law and Compliance Divisions
  • Member, Bar Associations of New York, the District of Columbia and California (inactive)
  • Senior Vice President and Assistant General Counsel, Bank of America Corporation, 2009-2010
    • Senior litigation attorney supporting the Merrill Lynch International Wealth Management Division of Bank of America, as well as overall management responsibility for all litigation and related regulatory issues arising out of the Division’s business in Europe, the Middle East, Asia, Australia, and Canada; overall responsibility for litigation relating to claims concerning the credit collapse and auction rate securities involving both Merrill Lynch and Bank of America

Counsel Comments


    “Consistently demonstrated a singular ability to dispassionately assess complex and difficult problems, defuse volatile situations, and propose solutions to apparently intractable disagreements.”
    -S. L. Hammerman, former Vice Chairman of the Board, Merrill Lynch

    “I would not hesitate to use Jim as a mediator of an investor or employment dispute and I would highly recommend his services.”
    -T. G. Eppenstein, Esq., Eppenstein & Eppenstein

    “I would select Jim to sit on an arbitration panel as he is extremely qualified to evaluate documents and the credibility of witnesses.  Additionally, Jim would be an excellent mediator as he brings to the table the ability to facilitate as well as evaluate cases. I highly recommend Jim as an arbitrator and/or mediator.”
    -S. D. Toskes, Klayman & Toskes

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