Andrea Psoras TRANSACTIONS/PROJECTS/ENGAGEMENTS/ACTIVITIES LIST 2Q16

ANDREA M. PSORAS

201 W. 117th Street #2B  NY, NY 10026 (212) 666-2569 andreapsoras@yahoo.com  apsoras@gmail.com

TRANSACTIONS/PROJECTS/ACTIVITIES LIST*

2011/2012/2013/2014/2015/2016

Public Due Process Comment Letter – FDIC Notice and Request for Comment: Guidelines for Appeals of Material Supervisory Determinations: Federal Register Vol 81, No. 150 (Aug 4, 2016, pps 51441-6.) in process.

Policy-Legal Analysis of New York Bankers Association v. The Cty of New York , et al.  Analysis of and comment to the New York City Banking Commission regarding the 2105 law suit by New York Bankers (Trade ) Assocation against New York City Counci’s  2012 “Responsible Banking Act” and associated programs administrated by the Community Investment Advisory Board.

Public Due Process Comment Letter  (letter #01) FDIC:  Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act OMB Control Number 3064–0189 / 75152-75155 Federal Register / Vol. 79, No. 242 / Wednesday, Dec 17, 2014 https://www.fdic.gov/regulations/laws/federal/2014/2014-stress_test_reporting_dodd_frank_3064–0189.html 2014-stress_test_reporting_dodd-frank_3064–0189-c_01.pdf

Public Due Process Comment Letter (letter #29) FDIC: Single Point of Entry / 77614-76624 Federal Register / Vol. 78, No. 243 / Wednesday, Dec 18, 2013 http://www.fdic.gov/regulations/laws/federal/2013/2013-single-point-entry.html

Public Due Process Comment Letter (letter#40): FASB Project: 2012-260 Financial Instruments—Credit Losses (Subtopic 825-15) comment letter for Public Due Process. 2 May 2013

http://www.fasb.org/jsp/FASB/CommentLetter_C/CommentLetterPage&cid=1218220137090&project_id=2012-260

Public Due Process Comment Letter: Fed, FDIC, OCC, SEC Comment regarding opposition to Basel III adoption, analysis, in narrative style http://www.federalreserve.gov/SECRS/2012/December/20121206/R-1442/R-1442_113012_110903_367981921547_1.pdf

Director on Board: Occupy Financial (OWS’ financial company established to do financial services, payment cards). Worked on organization’s development-establishment, business plan, financial (interactive spreadsheet) model.

Public Due Process Comment Letter (letter#167): FASB Project: 2011-230- Revenue Recognition (Topic 605): Revenue from Contracts with Customers Updated Exposure Draft comment letter for Public Due Process. 13 March 2012

http://www.fasb.org/jsp/FASB/CommentLetter_C/CommentLetterPage&cid=1218220137090&project_id=2011-230&page_number=2

Public Due Process Comment Letter: US Department of Agriculture –Comment letter against deregulating Dow Agri Group GMO 2,4-D (dioxin) tolerant soy, and supporting banning GMO in the US food supply and agriculture; Amicus Letter: OSGATA v Monsanto- Friend of the Court Letter on behalf of Organic Seed companies and Organic Farmers Trade Association in anti-competitiveness/corporate abuse lawsuit against Monsanto. http://www.regulations.gov/#!documentDetail;D=APHIS-2010-0103-4699

Public Due Process Comment Letter: Fed, FDIC, OCC, SEC: Comment for public due process regarding “Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds”  et al, aka “Volcker Rule” http://www.sec.gov/comments/s7-41-11/s74111-332.pdf; http://www.federalreserve.gov/SECRS/2012/March/20120305/R-1432/R-1432_021312_104969_451639007701_1.pdf

Comment Letters and Analysis: Financial Crisis Inquiry Commission: Attended and analyzed hearings/testimonies while FCIC conducted its Due Process on Capitol Hill, 2010 and 2011

2009/2010

Financial Crisis and Financial Crisis Inquiry Commission: Forensics/post-mortem on root with associated prospered causes of the financial ‘crisis’ from late 2005 through the present and regular input to the Financial Crisis Inquiry Commission related to its hearings and analyses. (1/2010-1/2011)

Public Due Process Comment Letter (#440 10-22-10): FASB – Revenue Recognition (Topic 605): Revenue from Contracts with Customers http://www.fasb.org/jsp/FASB/CommentLetter_C/CommentLetterPage&cid=1218220137090&project_id=1820-100  Letter #440. 10/2010

Bank/financial sector small cap Stock Indexes– Selected a universe (27 names; bench of 71 names) of under-covered smaller (market) cap financial companies including banks, thrifts. Produced an index of their stock market returns from 2005 -2010. Back-tested/compared portfolio return in top 10% against 41 ETFs, CEFs, indexes used for comparison. (10/09-5/10)

FASB “Blue-Ribbon” Panel convened on “fair value” impact in Financial Crisis“ Impact of use of Fair Value as the basis if measure in US financial reporting model, ie, US GAAP. Reviewed and attended US hearings, without public comment letter to FASB – 2010

Public Due Process Comment Letter (#81): FASB – Project: Fair Value Measurements and Disclosures (Topic 820) Reference Number: 1830 100 Amendments for Common Fair Value Measurement and Disclosure Requirements in U.S. GAAP and IFRS http://www.fasb.org/jsp/FASB/CommentLetter_C/CommentLetterPage&cid=1218220137090&project_id=1830-100 10/09

Public Due Process Comment Letter to the Securities and Exchange Commission (‘SEC”): Roadmap for the Potential Use of Financial Statements Prepared in Accordance with International Financial Reporting Standards by U.S. Issuers [Release No. 33-8982; File No. s7-27-08] http://sec.gov/comments/s7-27-08/s72708.shtml aka opposition of “Adoption of IFRS” (2009)

Capital Link Inc Maritime Indexes: Developed/constructed Capital Link Maritime Index for the Capital Link website tracking its maritime clients’ stock movement, with oversight by expert, former co-worker Herb Blank.

Board of Governors of the Federal Reserve System Comment on data robustness/improvement for data used in revenue reported in Y-9C, 1/12/09 and to FFIEC and FDIC regarding data improvements desired in the Y-9C, ‘Call” Reports.

2007/2008

2008 Presidential Campaign – Vice President on the Independent Ticket with Jeffrey Boss for President

FDIC Comment Letter on Capital Adequacy http://www.fdic.gov/regulations/laws/federal/2008/08comAD32.html

 Public Due Process Comment Letters on 8May 08 RE Commodity Futures Trading Commission: Agricultural Forum, April 22, 2008: comment www.cftc.gov/PressRoom/Events/Events2008/event042208_c049; 5May08 related to Agri-commodities “CFTC Requests Public Input on Possible Regulation of “Event Contracts”ETFs, ETNs, ETCs  tracking commodities and associated indexes – public opposition to these equity market tradable vehicles submitted the Commodities Futures Trading Commission and Securities and Exchange Commission on May 8-9, 2008 towards its public comment on the recent problems in the agricultural commodities.

HedgeMetrics, Haugen Custom Financial Systems Sales of these QEDI clients’ products; engaged in portfolio management business development sales on behalf of both clients

XShares Advisors, Index Administrators for 19 Healthshares Indexes and associated Exchange Traded Funds “ETFs” Monitoring index members and selecting new bio/health members for index representation.

Enterprise Development Partners, LLC “PLASMARC”: Project development, capital infusion, merger/acquisition, site strategy $500MM-$1.5Billion (on-going); capital search for $250K-$25MM.

DiscoverScreenS: Capital infusion and strategic roll-up$3MM to $10MM.

OREnterprise: Risk Management company providing software for Sarbanes Oxley Sections 404, 302 Compliance; capital search $5MM

Van Eck Global, “Does the Steel Industry Perform Differently Than the Basic Materials Sector” Co –author with C. Michael Carty and Ed Matluck, PhD.

Rapid Ratings™: Sales and Consulting. Rapid Ratings™ screens portfolios for banks, lenders, large creditors and insurance companies to identify counterparty risk exposures to high vs low-risk credits investigate the creditworthiness of potential new credits; monitors creditworthiness trends of existing credits; also for compliance with BASEL II requirements.

Blue Ridge Motion Pictures  Capital Search, real estate sale of properties, $10MM – $20MM.

2006

Rapid Ratings™: Sales and Consulting. Rapid Ratings™ screens portfolios for banks, lenders, large creditors and insurance companies to identify counterparty risk exposures to high vs low-risk credits investigate the creditworthiness of potential new credits; monitors creditworthiness trends of existing credits; also for compliance with BASEL II requirements.

Strategic Shareholder effort – Shareholder/corporate governance opposition to regulatory filings of the Sovereign Bancorp for acquisition of Independence Bancorp combined with opposition of regulatory filings by Banco Santander Application acquisition/change in control for Sovereign Bancorp; for regulatory submission, legal battle, amicus brief submission on behalf of shareholders https://apsoras1.wordpress.com/2013/05/06/2feb06-amicus-brief-to-u-s-district-courtsouthern-district-ny-relational-investors-llc-sovereign-bancorp-banco-santander-s-a/; Relational Investors, I reviewed Santander application with Federal Reserve Bank of New York, New York State Department of Banking and Sovereign Bancorp application with the Office of Thrift Supervision for Independence.

Co-Author Blank, Herb, and Andrea Psoras. “When Sin Is Superior”, Financial Advisor, April 2006. Co-author on a white paper analyzing period from 1985 through 3Q2005 the divestiture and use of shunned ‘vice’ sectors to tweak investment portfolios (http://www.fa-mag.com/news/article-1368.html ). The SPADE Index refers to this research.

2005

Rapid Ratings™: Sales and Consulting while at QED International. Rapid Ratings™ screens portfolios for banks, lenders, large creditors and insurance companies to identify counterparty risk exposures to high vs low-risk credits investigate the creditworthiness of potential new credits; monitor the creditworthiness trends of existing credits; and comply with BASEL II requirements.

(2005-September from 11 September 2001) Whistle-blower years – over time period while the major financial players were using the financial ‘engineering’ aka ‘financial innovation’ to pump fees through the income statement and structure off-balance sheet securitizations to hide non-performing assets), I was a Financial sector analyst who went to the New York Fed, SEC on another investment banker engaging in corporate espionage and fraud.

Forming a new unit/repositioning of Strategic Advisory to Strategic Well-Being, to provide well-being and ‘retail’ financial advice to groups and individuals, adjusting business plan, preparing to Incorporate, building website, taking advocacy role against medtech/big pharma self-dealing – Spring/Summer 2005

Freelance writing and analyses of (Spring, Summer 2005): 1. The Google auction IPO; 2. Reporting Intangibles and the Knowledge Economy; 3. The ‘Catch-up’ Provision in 401(K) Plan Sponsor, Participant Adoption, discussing Vanguard experience as of 2004; 4. “Free” Trade = FRAUD TRADE, “Free” Trade: The British Crown Colonial Form of Commerce

Grass roots campaign for candidate for Manhattan Borough President, Summer 2005.

2003/2004

Stock Market related research on a trading model in targeted industries, Fall 2004

Re-matriculated Franklin & Marshall College – Accounting and Economics with ‘cutting edge’ research/ analysis on Revenue Recognition writing about/analyzing Barter Revenue in the Income Statement http://benfranklinrepublican-gmail.blogspot.com/2010/10/no-barter-in-revenue-especially-for.html , and beginning an Econometric review of the Board of Governors study of Community Reinvestment Act lending. Spring 2004

Reviewed, opposed merger proposal between Bank of America and Fleet Boston on Concentrations of Power issues. Testified before the Committee at the Federal Reserve Bank of Boston with written statement introduced as support, however not read in entirety at the hearing: Public Hearing Regarding Bank of America Corporation, and FleetBoston Financial Corporation – Held on Wednesday, Jan 14, 2004, at the Federal Reserve Bank of Boston: Unedited Transcript. Vol I, Pgs 1 – 423, line . 0263 beginning 23 http://www.federalreserve.gov/events/publicmeeting/20040114/20040114.htm.

Reviewed provided feedback on Senate, House drafts on ‘Economic Stimulus’ and other Congressional/legislative efforts

New York Society of Security Analysts – Corporate Governance Handbook – research/analysis – drafts on Transparency, Management and Board Quality, and Independence; for the Corporate Governance/ Shareholder Rights Committee and used by the New York Society of Security Analysts, then by the CFA Institute for its own Corporate Governance Handbook.

Baruch College-Accounting Program/Accounting Certificate, 2003.

2001/2002 STRATEGIC ADVISORY:

Reviewed provided feedback on Senate, House drafts on ‘Economic Stimulus’ and other Congressional/ legislative efforts

Client: Joint Equity Development Corp (“JEDCO”) a mortgage product startup founded in Connecticut/search for $5mm private equity. Advisor role: first became acquainted with the founder while at KPMG, where my role for this transaction began as Senior Analyst along with the transaction management/execution efforts.

Client: Julie Research Labs (NY) Strategic Advisor to Trident Project ($2.5B non-nuclear naval rocketry). Project impacted by policies of US nuclear arms strategy. Private equity search for firm while it was/is involved in lobbying for change in nuclear arms policy.

Client: Sageworks, Inc. and Sageworksinc.com (CT/NC)– Strategic advisor/marketing for founder, Brian Hamilton on behalf of SageWorks, Inc. – an Internet based artificial intelligence tool/product that advises and provides an analytical model for ‘small’ business and other entrepreneurs to improve their business decisions, business performance.

Client: Alternative Power (NY) In negotiations to provide Advisor/Manager/Analyst to find strategic partners and with private equity, client development for this green energy/alternative energy, photo voltaic company – the September 11 catastrophe derailed the engagement (contract size difficult to estimate- $500k to $mm+).

Client: Enterprise Development Partners (NY) corporate strategy change for “green” steel/”green” power from waste.   Private Equity/Advisor role for this enterprise with operating strategies including scrap steel refining, waste pyrolsis and with strategies for profitable ‘community’ economic development (private equity $25mm-to open end project size).

Client engagement: UBS For 5 months in 1999 and again in 2001, I worked for UBS Warburg as a Counter-party credit risk analyst in its North American Financial Institutions department. Not an officer who could approve enlarging credit line exposures and approving trades that exceeded credit limits, I analyzed financial condition and relationships with UBS North American counter-parties. This group included: SunTrust, BBT (Branch Bank & Trust), Wachovia, National City (OH), Fifth Third, Citibank’s subs in Spain (whose financial statements were in Spanish), the Bahamas, its Credit Card Banks in UT and SD, its Asset Management Bank in Japan, BAC’s Institutional/Investment bank units in Canada and Chicago, Pacific Century Bankshares (BOH), Morgan Stanley’s Paris Broker/Dealer, whose financial statements were in French, Providian, The Dime (NY), Wilmington Trust Company, Fiduciary Trust Company, Shelby Collum Davis, Legg Mason, Spear Leeds Kellogg, Archipelago ECN, Jeffries, Raymond James, Advest, the Canadian banks, the US Farm Credit System, the FHLB, the Federal Reserve Bank of New York.

2000 Client engagement/subcontractor –

BLAYLOCK & PARTNERS- Combinations, financial modeling, strategic consulting for and with its endeavors including:

UPS (Transport/Fulfillment Sector) activities – Modeling and Buy-side M&A search for freight forwarders/customs house brokers; other types of fulfillment related companies and other potentially appealing companies to UPS. Transactions totaled approximately $100mm, and role was largely as analyst, but included some advisory and transaction management.

ChevronTexaco (CA) petroleum/consumer finance – Gas Credit Card specialty purpose entity/vehicle engagement on which I was among the group of advisors reviewing this investment/Joint Venture for Blaylock ($15mm) private equity opportunity.

TIAA-CREF (Fixed income investment organization)- $300mm-$500mm Collateralized Debt Obligations structured finance transaction on which I was an advisor, manager, analyst.

Southern Cos. (power/utilities) – business development/Private Equity opportunities to present Southern with suitable partners, targets.

Williams Family Investments Real estate/commerce on St. Thomas – Private Equity, M&A ‘services’ where I acted as Advisor/Manager as well as Analyst for insurance underwriting and brokerage.

Verizon Wireless (Telecom) $10B Initial Public Offering where I was included on a (syndicate company) Management/analyst team.

1995-2000* STRATEGIC ADVISORY (Overlapping in 2000 with Blaylock & Partners) Private Equity Activity log:

Client: SAGEWORKS   Strategic Advisor including Research for and Sale of the $10mm-$15mm company, a web-based small business artificial intelligence analytical tool

Client: The Archivum (NY/CA) – $3mm Advisor/manager/research engagement for this startup media content company.

Client: Julie Research Laboratories – $1.5mm Advisor role for this operating defense sub-contractor company

1998-2000 

Client: Enterprise Development Partners/in conjunction with PLASMARC:          MTN and Medium Term Debentures financings – research, Habib Tariq, Developing market banks, investments in Latin/South America, Asia, former Soviet Block and Warsaw pact countries (while providing research/Due diligence efforts I conducted due diligence, encountered foreign paper, the complex global financial ‘grid’, “3rd World Debt, tax evasion, money laundering, and correspondent banking complexities)

1996 Client: Wit Capital now ETrade (NY/CA) $6mm private equity search for this on-line broker/dealer startup

1995 Client: Depthograpy  (NY) $3mm-$5mm Advisor/Manager/Research for this operating depth lenticular photography company

1994 + Client: JEDCO, LLC

1994-95 KPMG PEAT MARWICK LLP Capital Strategies/Global Capital Group a department created to compete directly with the major investment banks for financial services M&A transactions.

1994-95 General Electric Capital Corp (CT)Strategic Financial Advisor/manager for bid for $12B ITT Consumer leasing/lending division; Advisor/manager search for buyer of $3.5B ITT thrift, AND other Buy side engagements for its activities on which I was manager/analyst for these $multi-million transactions.

1994-95 Joint Equity Development Corp “JEDCO” (CT) Advisor/manager/analyst for $5mm Venture capital/private equity search activity as well as senior strategic analyst for unique mortgage equity product enterprise.

1994-95 Union Savings Bank of Danbury (CT) – Strategic Financial Advisor/manager/analyst for Merger/acquisition strategy to buy branch network, bank or thrift – estimated $80mm.

1995 First Fidelity National Bank (OK) – Strategic Financial Advisor/manager/analyst on growth/acquisition strategy and bank/thrift acquisition targets in its market area estimated net worth $25mm.

1994-95 Fingerhut (MN) Strategic Advisor/manager/analyst for M&A buy side target search thrift/consumer finance sub estimated net worth would be $100 mm.

1994-95 RMBI (NY)- Strategic Financial Advisor/manager on this mortgage bank’s estimated $15mm sale to Roslyn Savings Bank (NY)

1994-95 Pooled Asset Auction (NY) partnership to acquire an sell Real Estate Assets owned by CalFed – $350mm on which I was among the Advisor/manager team.

1994 KPMG – Development of its Derivatives Initiative with KPMG national lead partner for financial services practice Group Analyst consulting/business development.

1994 KPMG European Rating Project Survey and Initiative (NY) analyst for intelligence related to survey and dialogue with European/French banks/bankers after these began to be rated by US rating agencies.

1994 Webster Financial (CT) – Firm’s role as Strategic financial advisor. My role would be eventually manager/analyst on acquisition plans/synergy with competitor for a merger of equals estimated $95mm in net worth.

1994 KeyCorp (OH)Strategic Advisor to develop (estimated) $multi-billion “Consumer” Bank

1994 Carteret Savings Bank (NJ)Strategic Financial Advisor/manager/research (M&A) for minority bid strategy for failed $billion thrift while it was in RTC Conservatorship.

1994 Midlantic (NJ)Strategic Advisor (part of team as an analyst) for Problem Asset workout $100s mm

1994 Penn Federal Savings (NJ)  – Analyst/Manager for Buy-side search for acquisition targets with net worth greater than $10mm

1988-93 ADVEST GROUP – LYONS, ZOMBACK & OSTROWSKI, INC (LZO) Acquired 2000 by the MONY Group (Mutual of NY)

1992 Citizens First National Bank (NJ) with net worth greater than $100mm Strategic Advisor (I was an Analyst) to ‘hostile’ large shareholder attempting to gain board seat with their ‘shareholder activist’ efforts

 1989-90 Manufacturers Hanover Trust (NY) estimated assets in multi $Billions- Strategic Advisor (analyst on Advisor team) prior to acquisition by Chemical Bank (NY); performance evaluations/bench marking/peer comparisons while MHT was a retainer client

 1989-90 Republic National Bank New York (estimated Assets of $25+Bs) – Valuation, fairness opinion for tax purposes of its Uruguay Subsidiary (net worth $mms) with significant precious metals, metals trading operation – Analyst for Advisor

1988-93 Peoples Westchester Savings Bank (NY) Assets greater than $4Billions Strategic Financial Advisor to client while it was acquiring healthy and failing local thrifts transactions on which I was Analyst-research and/or Manager.

1990-92 $10+mm to 100+mm Recapitalization-Private Equity/Rights offerings/Open Bank Assistance filings for the following: 1992 Union Savings Bank (Long Island) ‘Good Bank/Bad Bank’ strategy, 1991-92 Bank for Savings (MA),

1992 Sentry Bank (MA), 1991-92 Brooklyn Savings (CT) among others Strategic Financial /Regulatory Advisor for recaps/private placements which included detailed modeling, due diligence, capital plans – Associate- (execution side).

1992 RiverBank America (East River Savings Bank – Assets greater than $3.5Billions) – Strategic Financial Advisor for Branch Sales with Sales Memorandum and Recap forecasts and documents on which I was Manager/Analyst-research.

1992 Howard Savings Bank (NJ) Assets greater than $1.5BillionsReviewed documentation and valued auto leasing portfolio ($100+mms) prior to FDIC resolution the role of which I was Analyst-Research.

1992 Garden State Bank (NJ) with assets greater than $350mm – Branch Acquisition strategy as well as Strategic/Regulatory Advisor while under a Memorandum of Understanding (“MOU”). Analyst and assisted LZO Partner.

1991-92 House Financial Services Committee: Research while at LZO for Congressman LaFalce (D/New York) on which I was analyst-research.

1991? Old Stone (RI) with assets in $Billions Strategic Financial Advisor (I was the Analyst) to seller, valuation of trust operations while this ‘thrift’ was ‘failing’.  The Sale was part of a strategy for capital raising purposes for Old Stone. I worked on this forecast/model.

1991 Peoples Westchester Savings Bank (NY) Strategic Financial/regulatory Advisor on ‘purchase & assumption’ acquisition of Larchmont S&LA, valuation/fairness opinion and models role of which I was Manager/ Analyst -Research – $5mm capital infusion. I built, worked on the forecast/model as well as parts of application.

 1990-91 Brooklyn Savings Bank, Danielson CT. Recap and Request for Open Bank Assistance for $14MM -20MM savings bank with assets of $300MM, with non-performing real estate/development-construction projects.

 1990 State Bank of Long Island (NY) assets greater than $250mm – Strategic Financial Advisor/Analyst-research for Branch bid strategy for failed thrift deposit franchises and Acquisition targets.  I worked on this forecast/model as well as bid strategy for this client.

 1990 Federal Deposit Insurance Corporation – Division of Liquidation; Research Analytical advice, empirical feedback on development of Brown-Epstein Resolution/ “Loss-on-Assets” model for failed bank/thrift resolutions as well as use of the Bovenzi-Merton Resolution/ “Loss-on-Assets” model – on this project I was an Advisor as well as an analyst-research.

1989 Savings Bank of Rockland Country, (NY) – MOU/Business-capital plan advisory role – $250MM sized thrift required to meet regulatory constraints under a FDIC MOU.  I worked on the business/capital plan, the financial-spreadsheet model and with the LZO ‘team’ which interacted with Bank’s board, management, control/audit staff to improve it’s financial condition and operations for release from MOU.

1988-90 TONE (The One Bancorp) Bancorp/The Maine Savings Bank  M&A engagements and later, recap/private equity search for this $billions thrift.  I worked on the memorandum for this series of engagements.

1988 Sag Harbor Savings Bank (NY) assets $350mm- Strategic Advisor/Analyst on its sale to Apple Savings Bk (NY) I worked on Sag Harbor’s forecast for valuation and M&A purposes before its acquisition.

**1993 RB Cenlar (NJ based mortgage bank sub-servicing operation) Strategic Financial Advisor/Manager/analyst- research for recap, branch sales, and capital plan while under MOU with regulators.

**1993 RB Elmwood Federal, Media, PAStrategic Financial Advisor on which I was Manager/Analyst to seller, valuation of company

**1993 RB Central Pennsylvania Savings – Strategic Financial Advisor on which I was Manager/Analyst to seller in its sale to Meridian

Other Sector Activities and Relationships: – Steel Sector (Integrated, Specialty-Niche, Blast Furnace, Pyrolsis/Electric-Arc Furnace Refining, Scrap/Recycling), Precious Metals refining, Waste Conversion/Bio-remediation, Environmental Engineering, green energy, media content, logistics/fulfillment, maritime/ocean transport and related sectors.

Other relationships/share ownership in: Bethlehem Steel, Baldor, Morgan/Chase, Lehman Brothers, ConAgra, Novis/Stratford Acquisition Corp, Philip Services, L-3Com/(Ayden), Schlumberger (EMR – Drill Tools/Missile Guidance), BlackLight Power

***Notes***.

* In 1999, again in 2001, I worked for UBS Warburg as a Counter-party credit risk analyst in its North American Financial Institutions unit. I analyzed financial condition and relationships with UBS N. American counter-parties. Group included: SunTrust, Wachovia, National City (OH), Fifth Third, Citibank’s subs in Spain (whose financial statements were in Spanish), the Bahamas, its Credit Card Banks in UT and SD, its Asset Management Bank in Japan, BAC’s Institutional/Investment bank units in Canada and Chicago, Pacific Century Bankshares (BOH), Morgan Stanley’s Paris Broker/Dealer, whose financial statements were in French, Providian, The Dime (NY), Wilmington Trust Company, Fiduciary Trust Company, Shelby Collum Davis, Legg Mason, Spear Leeds Kellogg, Jeffries, Raymond James, Advest, the Federal Reserve Bk of NY. http://www.bankinnovation.net/forum/topics/accrual-accounting-and-using

**Indicates the transactions in which I was involved while an Associate VP for 3 months at Ryan, Beck in West Orange NJ.

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