V. James Mann, Esq., JAMS Mediator and Arbitrator

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 Action & Mass Tort

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

Honors, Memberships, and Professional Activities

Completed Virtual ADR training conducted by the JAMS Institute, the training arm of JAMS
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)

Background and Education

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
First Vice President and Assistant General Counsel, Merrill Lynch, Pierce, Fenner & Smith
Incorporated, 1986-2008

Director of Product, Class Action and International Litigation and Arbitration Group, 2003-2008
Senior Litigation Counsel to Global Markets and Investment Banking, 1994-2003
Senior Counsel for Private Client Litigation and Manager of Eastern Sales Division Litigation,
1986-1994

Private practice, New York, NY, representing NASD member firms and associated persons in
connection with civil litigation, regulatory investigations and proceedings, 1981-1986
Senior Litigation Counsel, Merrill Lynch, Pierce, Fenner & Smith Incorporated, 1980-1981
New York District Counsel, National Association of Securities Dealers, Inc., 1979-1980
Litigator, Marshall, Bratter, Greene, Allison & Tucker, NY, 1974-1979
J.D., Columbia University School of Law, NY, 1974 (Harlan Fiske Stone Scholar)
B.A., magna cum laude, St. Peter’s College, Jersey City, NJ, 1970