About FMG

Financial Services and Banking

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI www.fmglaw.com

Freeman Mathis & Gary, LLP is a leading litigation firm, with over 190 attorneys nationally in 20 offices in
10 states. FMG serves clients through its practice sections in Appellate Advocacy, Commercial
Litigation/Directors & Officers, Construction & Design Law, Data Security, Privacy & Technology, Financial
Services and Banking, Government Law, Insurance Coverage and Extra-Contractual Liability, Labor and
Employment, Professional Liability/Errors and Omissions and Tort & Catastrophic Loss. With offices in
California, Connecticut, Florida, Georgia, Kentucky, Massachusetts, New Jersey, New York, Pennsylvania,
and Rhode Island, FMG attorneys serve as trusted counsel to corporations and governments throughout
the country, providing practical, efficient, and cost-effective solutions for legal issues.

The FMG Difference

• Experienced, responsive partners serve as your "personal lawyer"
• Long-term relationships built on trust
• Efficient, cost-effective legal solutions

Our Attorneys

FMG attorneys have earned a national reputation for achieving practical, successful results in their
practice areas. Each of the firm's practice group leaders and many of the firm's attorneys have been
named a “Super Lawyer” by Super Lawyers Magazine. Our attorneys are diverse, bright and tenacious -
always advocating for their clients' best interests. We have handled civil disputes and litigation
proceedings in state and federal courts throughout the country, including before the Supreme Court of
the United States.

National Practice Sections

• Appellate Advocacy – FMG has one of the nation's premier appellate practices with seasoned
appellate lawyers who handle all aspects of state and federal appeals including multiple
appearances before the United States Supreme Court.

• Commercial Litigation/Directors & Officers – Our attorneys represent clients of all sizes covering
the full spectrum of large and sophisticated commercial litigation, involving complex business or
financial transactions, multi-jurisdictional claims and numerous plaintiffs and defendants.

• Construction and Design Law – FMG's attorneys combine their technical knowledge with legal
excellence to resolve the full gamut of construction industry issues, including defective
construction and design claims, contract preparation, negligence claims, securing payment,
general advice and counsel.

• Data Security, Privacy & Technology – Our attorneys serve as breach counsel, defend clients
against government investigations or enforcement actions, as well as third-party litigation such
as class action lawsuits and all manner of Tech E&O claims.

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• Financial Services and Banking – FMG's Financial Services practice group is a multi-disciplinary
team of professionals who represent financial institutions, as well as financial professionals, in a
wide spectrum of transactional, regulatory, and litigation-related matters.

• Government Law – Hundreds of local governments, including cities, counties, sheriffs, school
districts, housing authorities, hospitals, water authorities and development authorities have
turned to our attorneys to resolve issues involving virtually every aspect of government liability.

• Insurance Coverage and Bad Faith – Our team has handled insurance coverage and bad faith
litigation ranging from relatively minor declaratory judgment actions, to major inter-company
disputes, to the defense of multi-million dollar bad faith claims.

• Labor & Employment Law – Our nationally recognized employment team has defended cases in
45 states for all types of public and private employers.

• Professional Liability/Errors and Omissions – FMG's Professional Liability practice group has
decades of experience and unparalleled trial expertise in defending professionals and their
insurers in errors and omissions claims throughout the nation.

• Tort and Catastrophic Loss – Our attorneys defend high exposure death, assault, bodily injury,
and property damage claims arising out of products, premises, business operations and
advertising, including serving as national and coordinating counsel for a variety of carriers and
corporations in their litigation matters.

How Clients Benefit

Clients benefit from FMG's ability to develop and deliver the best legal result in a timely manner, without
the built-in, high overhead costs of many general practices or large law firms. Whether providing legal
counsel or litigating complex matters, our attorneys help clients successfully resolve time-consuming legal
disputes so they can get back to business.

Testimonials

"For many years we have counted on FMG's lawyers for their exceptional legal ability and depth
of knowledge in our industry. They understand all aspects of the complex construction and
commercial issues we encounter. They are very practical and cost effective in helping us achieve
our business goals." – Executive VP and General Counsel, Tensar Corporation

"FMG brings a practical, reasoned approach as our employment attorneys in dealing with difficult
issues. Based upon their depth of knowledge, we continually rely upon them for their counsel and
know they will always put our interests first." – Executive Vice President, CFO, C.W. Matthews
Contracting Co., Inc.

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI www.fmglaw.com

Financial Services and Banking

FMG's Financial Services & Banking National Practice Section is a multi-disciplinary team of professionals
who represent financial institutions, as well as financial professionals, in a wide spectrum of transactional,
regulatory, and securities matters in both litigated and non-litigated contexts. Our professionals have a
comprehensive understanding of the financial services industry and their practice includes a number of
sub-specialties including accountants and financial professionals, registered representatives and
investment advisors, broker-dealers and Registered Investment Advisors (RIA). FMG's legal team
represents financial institutions, their senior executives, brokers and other registered personnel in
securities arbitration, litigation and regulatory matters. Our professionals also provide counseling in
emerging areas of law such as data security and privacy issues, financial elder abuse, and guidelines issued
by the Consumer Financial Protection Bureau (CFPB). The group's Partners have represented clients
ranging from community banks to money-center financial institutions, including commercial banks and
savings institutions, finance companies, credit card issuers, trust companies, investment advisors, broker-
dealers, credit unions, mortgage originators, and insurance companies, in the areas shown below. Our
team includes former in-house counsel, CPA's, SEC officials, and chief compliance officers who have
decades of experience in all aspects of financial services CTA matters.

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Financial Services and Banking

Chad Weaver Shawn Bingham Robert Buckley Michael Bruyere Jill Dunn

Chair | LA: LAX; LA: Orange Partner | Atlanta Partner | Atlanta Partner | Atlanta Partner | Atlanta
County
Direct Dial: 678.996.9090 Direct Dial: 770.818.1298 Direct Dial: 770.818.1435 Direct Dial: 770.818.1409
Direct Dial: 562.583.2124 [email protected] [email protected] [email protected] [email protected]
[email protected]

Daniel Lee Ali Sabzevari Michael Burwick Neil Hartzell Warren Hutchison Kevin Kenneally

Partner | Atlanta Partner | Atlanta Partner | Boston Partner | Boston; Providence Partner | Boston Partner | Boston

Direct Dial: 770.951.7328 Direct Dial: 770.303.8633 Direct Dial: 617.459.3678 Direct Dial: 617.963.5966 Direct Dial: 617.963.5967 Direct Dial: 617.963.5968
[email protected] [email protected] [email protected] [email protected] [email protected] [email protected]

Jennifer Markowski Kirsten Patzer Nancy Reimer Justin Boron Bill Catto Sean Riley

Partner | Boston Partner | Boston Partner | Boston Partner | Cherry Hill; Partner | Cherry Hill; Partner | Cherry Hill;
Philadelphia Philadelphia Philadelphia; Pittsburgh
Direct Dial: 617.807.8962 Direct Dial: 617.963.5983 Direct Dial: 617.963.5969
[email protected] [email protected] [email protected] Direct Dial: 215.289.4919 Direct Dial: 267.608.1740 Direct Dial: 215.279.8073
[email protected] [email protected] [email protected]

John Shea Robert Latham Marc Shrake Isis Miranda Joseph Roberts Michael Ruocco

Partner | Cherry Hill Partner | LA: Downtown Partner | LA: Downtown Senior Counsel | LA: Downtown Associate | LA: Downtown Associate | LA: Downtown

[email protected] Direct Dial: 213.615.7012 Direct Dial: 213.615.7039 Direct Dial: 213.615.7020 Direct Dial: 562.583.2129 Direct Dial: 424.350.3807
[email protected] [email protected] [email protected] [email protected] [email protected]

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Copyright © 2020 Freeman Mathis & Gary

Financial Services and Banking 2

Elizabeth Lowery Margot Parker Nikki Sachdeva David Chang Jennifer Weatherup Elizabeth Fellmeth

Partner | LA: LAX Partner | LA: LAX Senior Counsel | LA: LAX Associate | LA: LAX Associate | LA: LAX Partner | LA: Orange County

Direct Dial: 310.937.2066 Direct Dial: 310.937.2066 Direct Dial: 424.352.1842 Direct Dial: 424.352.1838 Direct Dial: 424.352.1829 Direct Dial: 310.937.2066
[email protected] [email protected] [email protected] [email protected] [email protected] [email protected]

Joseph Suarez Gregory Fayard David Molinari Robert Cutbirth Brian O’Donnell Kurt Lofgren

Associate | LA: Orange County Partner | Sacramento Partner | San Diego Partner | SF: Downtown Compliance Consultant Of Counsel

Direct Dial: 424.352.1842 Direct Dial: 916.472.3303 Direct Dial: 619.515.5419 Direct Dial: 415.352.6424 [email protected] [email protected]
[email protected] [email protected] [email protected] [email protected]

Don Runkle

Director of Consulting Services

Direct Dial: 727.608.4393
[email protected]

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI 2

Copyright © 2020 Freeman Mathis & Gary

Attorney Biography

Areas of Practice Chad E. Weaver

• Commercial Litigation Partner
• Directors & Officers Direct Dial: 562.583.2124
• FINRA
• Non-ERISA Fiduciary Litigation [email protected]
• Professional Liability
• SEC Regulatory Defense
• Securities Litigation

Chad Weaver is the office chair of Freeman Mathis & Gary’s Orange County office and practices in the downtown Los Angeles office. Mr. Weaver is a
trial attorney with a focus on representing Financial Institutions and related service providers. He chairs the firm’s Financial Services practice section and
also serves on the firm’s Executive Committee.

Mr. Weaver’s practice centers on disputes and regulatory matters before the Financial Industry Regulatory Authority, the United States Securities and
Exchange Commission, the California Department of Corporations and the California Department of Insurance. He has substantial experience
representing securities broker dealers, registered representatives, investment advisors and insurance agents in an array of civil and regulatory disputes.
His extensive financial and accounting knowledge is invaluable in litigating a variety of business litigation involving intellectual property, unfair business
practices, lost profit damage cases, business dissolutions, real estate claims, trademarks, copyrights and other business disputes. He also represents a
variety of other officers, directors and miscellaneous professionals in Professional Liability for breach of duty claims including corporate officers,
accountants, mortgage brokers, real estate professionals and insurance agents.

Mr. Weaver graduated law school in the top 7% of his class and as a member of the Order of the Coif. He also received the CALI Award for Excellence
in the Study of Securities Regulations. During law school, Mr. Weaver served as a judicial extern to the Honorable Sheila Prell Sonenshine, California
Court of Appeals and also worked with the United States Attorneys Office, Civil Division.

Mr. Weaver is a member of the State Bars of California and Florida, the Financial Services Institute (FSI), and the Securities Industry and Financial
Markets Association (SIFMA).

In his free time, he enjoys outdoor activities, especially surfing, scuba diving, fishing and snowboarding.

Bar Admissions

• California
• Florida
• U.S. District Court of Appeals 9th Circuit
• U.S. District Court Central District of California
• U.S. District Court Eastern District of California
• U.S. District Court Southern District of California
• U.S. District Court Northern District of California

Education

• J.D., University of San Diego School of Law
• B.A., University of California, San Diego

Awards

• AV Preeminent Rating from Martindale-Hubbell – Peer Rated for Highest Level of Professional Excellence

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI www.fmglaw.com

Attorney Biography

Areas of Practice Kirsten Patzer

• Financial Services and Banking Partner
• Labor and Employment Law Direct Dial: 617.963.5983

[email protected]

Kirsten Patzer is a Partner in Freeman Mathis & Gary’s Boston office. Ms. Patzer is a trial attorney with a practice focused on
representing and counseling financial services firms, financial advisors, and registered investment advisors. As former in-house counsel
to several financial institutions, including the largest independent broker dealer in the United States and a Fortune 500 financial
services company, she brings a distinctive set of skills, experiences, and insights to her litigation practice.

Ms. Patzer’s experience includes defending broker dealers and financial professionals in hundreds of arbitration and litigation matters,
involving an array of issues including: selling away, misappropriation of funds, expungement, investment suitability, churning, fraud, and
product due diligence. She has also handled a variety of employment related matters involving hostile work environment, discrimination,
and retaliation claims. In addition to her experience with traditional employment litigation, Ms. Patzer has had dozens of matters in front
of the Financial Industry Regulatory Authority’s arbitration forum where she has defended her clients against allegations of wrongful
termination, defamation, tortious interference with contract, and intentional interference with prospective economic advantage.

In addition to her litigation practice, Ms. Patzer has also represented clients in regulatory matters before FINRA, the SEC, the Certified
Financial Planning Board, and state securities and insurance agencies throughout the country.

When she isn’t zealously advocating for her clients, Ms. Patzer enjoys solo travel adventures, throwing dinner parties for her friends
and neighbors, skiing with her niece and nephew, and attending the Boston Ballet.

Bar Admissions
• Massachusetts

Education
• JD, Northeastern University School of Law
• BA, Music Performance (Viola), Metropolitan State University of Denver

Professional Associations and Memberships
• Leadership Council on Legal Diversity
• American Bar Association (co-chair of the Women in Securities Litigation Division)
• Southeastern Women in Financial Services
• Securities Industry and Financial Markets Association

Past Employment Positions
• Vice President, Associate General Counsel at LPL Financial
• Associate General Counsel at Raymond James Financial
• Counsel at Fidelity Investments

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI www.fmglaw.com

Attorney Biography

Areas of Practice Kurt Lofgren

• Compliance and Regulatory Compliance Of Counsel
• Financial Services and Banking [email protected]

Kurt Lofgren is Of Counsel and Senior Compliance and Regulatory Consultant to Freeman Mathis & Gary. In this role he
leads a group of staff to help clients develop effective compliance programs consistent with their business strategies,
create effective risk mitigation programs and resolve regulatory issues. His consulting services focus on investment
adviser and broker-dealer matters.

Mr. Lofgren has been an executive compliance leader and attorney at various firms throughout his career. Most recently,
Mr. Lofgren led LPL Financial’s Business Risk Management department, as well as serving as CCO for the firm’s
investment adviser. Prior to joining LPL, he was the CCO for Ameriprise Financial, leading the firm’s regulatory
compliance program for its’ broker-dealer, investment adviser, and insurance/annuity affiliates, as well as oversight for the
clearing functions, trading, and domestic and offshore operations. Earlier in his career, Mr. Lofgren worked for the
Securities Exchange Commission for several years before becoming Corporate Counsel for OLDE Financial and then
Assistant General Counsel for Northwestern Mutual.

Mr. Lofgren has also been actively involved in the industry previously serving on the Financial Services Institute’s
Compliance Council, the Securities Industry and Financial Markets Association’s (SIFMA) Compliance and Regulatory
Policy Committee and the Financial Industry’s Regulatory Authority’s (FINRA)Membership Committee. Mr. Lofgren
maintains the Series 7 and 24 securities registrations.

Education

• Loyola University, J.D.
• Knox College, B.A.

Professional Associations and Memberships

• Member, SIFMA Compliance & Legal
• Member, National Association of Compliance Professional (NSCP)

• Member, FINRA

CA | CT | FL | GA | KY | MA | NJ | NY | PA | RI www.fmglaw.com

Biography

Areas of Practice Don Runkle
• Expert Witness Testimony
Director of Consulting Services
• FINRA and SEC Compliance Direct Dial: 727.608.4393
• RIA Compliance [email protected]

Don Runkle is the Director of Consulting Services at Freeman Mathis & Gary. He heads up a staff of trained

professionals to mitigate litigation and regulatory risks.

Mr. Runkle has been an active leader in the industry, having been recently elected to the FINRA District 7 Committee for a
second term. Previous industry involvement also includes the FINRA Compliance Resources and Education Committee,
the FINRA Books and Records Task Force, the NASD Licensing and Registrations Council, the SIFMA Self-Regulations
and Supervisory Practices Committee, the SIFMA State Regulation and Legislation Committee, and the IAFP Compliance
Advisory Council.

Mr. Runkle has obtained numerous industry licenses, including the Series 7, 24, 53, 4, 63, 65, and the Florida Life and
Health insurance license. He also completed the Securities Industry Institute at the University of Pennsylvania Wharton
School in 2004, and he has been a FINRA arbitrator since 1998.

Prior to joining the firm, Mr. Runkle was the Chief Compliance Officer for Raymond James Financial Services, Inc., in St.
Petersburg, Florida, and has over 22 years of experience in the financial services industry.

Education

• University of South Florida, B.S.

Memberships & Affiliations

• Securities Industry and Financial Markets Association (SIFMA)
• Financial Services Institute (FSI)
• Financial Industry Regulatory Authority (FINRA)

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WEST COAST OFFICES: CA EAST COAST OFFICES: CT | FL | GA | KY | MA | NJ | NY | PA | RI

MAP KEY

STATES WITH OFFICES
STATES SERVED BY OUR ATTORNEYS

CALIFORNIA SAN DIEGO FLORIDA KENTUCKY MASSACHUSETTS
225 Broadway
LOS ANGELES - DOWNTOWN Suite 1460 TAMPA LEXINGTON BOSTON
550 South Hope Street San Diego, CA 92101-5052 2502 North Rocky Point Drive 2525 Harrodsburg Road 60 State Street
22nd Floor (619) 687-3000 Suite 860 Suite 500 Suite 600
Los Angeles, CA 90071-2631 Tampa, FL 33607-1447 Lexington, KY 40504-3359 Boston, MA 02109-1800
(213) 615-7000 SAN FRANCISCO - DOWNTOWN (813) 774-6363 (859) 410-7868 (617) 963-5975
44 Montgomery Street
LOS ANGELES - LAX Suite 3580 GEORGIA NEW JERSEY PENNSYLVANIA
400 Con�nental Blvd. San Francisco, CA 94104-6702
6th Floor (415) 627-9000 ATLANTA CHERRY HILL PHILADELPHIA
El Segundo, CA 90245 100 Galleria Parkway 3 Execu�ve Campus 1600 Market Street
(310) 937-2066 SAN FRANCISCO - MARIN COUNTY Suite 1600 Suite 155 Suite 1210
1010 B Street Atlanta, GA 30339-5948 Cherry Hill, NJ 08002-4114 Philadelphia, PA 19103
LOS ANGELES - ORANGE COUNTY Suite 300 (770) 818-0000 (770) 818-0000 (267) 758-6009
3030 Old Ranch Parkway San Rafael, CA 94901-2952
Suite 280 (415) 394-9500 FOREST PARK NEWARK PITTSBURGH
Seal Beach, CA 90740-2713 661 Forest Parkway 1 Gateway Center 2009 Mackenzie Way
(562) 583-2124 CONNECTICUT Suite E Suite 2600 Suite 100
Forest Park, GA 30297-2256 Newark, NJ 07102 Cranberry TWP., PA 16066-5338
SACRAMENTO NEW HAVEN (404) 366-1000 (973) 799-8570 (724) 720-9413
1013 Galleria Boulevard 157 Church Street
Suite 250 19th Floor SAVANNAH NEW YORK RHODE ISLAND
Roseville, CA 95678-1365 New Haven, CT 06510-2100 100 Bull Street
(916) 472-3300 (508) 254-3818 Suite 200 NEW YORK CITY PROVIDENCE
Savannah, GA 31401-3305 5 Penn Plaza 10 Dorrance Street
(912) 421-3100 23rd Floor Suite 700
New York, NY 10001-1810 Providence, RI 02903-2014
(212) 835-1612 (401) 519-3724

NATIONAL PRACTICE SECTIONS AND SUBJECT AREAS
IN WHICH WE SERVE OUR CLIENTS

APPELLATE ADVOCACY DATA SECURITY, PRIVACY & TECHNOLOGY PROFESSIONAL LIABILITY/
ERRORS AND OMISSIONS
Administra�ve Law Appeals Compliance and Data Breach Preparedness
Class Ac�ons Appeals 24/7 Emergency Data Incident Response Accountants
Commercial Li�ga�on Appeals Cyber Risk Insurance Coverage Services Architects & Engineers
Cons�tu�onal and Government Law Appeals eDiscovery & Records Management Cyber
Financial, Securi�es and Accountants Liability Appeals Tech E&O, Regulatory Ac�ons and Li�ga�on eDiscovery
Insurance and Reinsurance Appeals Employment Prac�ces Liability Insurance (EPLI)
Intellectual Property Rights Appeals FINANCIAL SERVICES AND BANKING Errors & Omissions (E&O)
Labor & Employment and Employee Benefits Appeals Fair Credit Repor�ng Act (FCRA)
Law Enforcement Appeals Accountants & Financial Professionals Fair Debt Collec�on Prac�ces Act (FDCPA)
Professional Liability Appeals Arbitra�on & Trial Prac�ce Fair Housing Act
Transporta�on Law Appeals Banking and Financial Transac�on Li�ga�on Home Owners Associa�ons (HOA)
United States Supreme Court Appeals Broker/Dealer & FINRA Lawyers Professional Liability
Benefit Plans & Fiduciary Medical Malprac�ce, Nursing Home & Allied Health
COMMERCIAL LITIGATION/ CFPB Nonprofit & Associa�ons
DIRECTORS & OFFICERS Data Security Professional Liability
Employment Prac�ces Real Estate Agents & Appraisers
ADA Website and Facili�es Li�ga�on Regulatory/Enforcement Telephone Consumer Protec�on Act (TCPA)
Alterna�ve Dispute Resolu�on (ADR) Transac�onal
Business Torts & RICO Ac�ons TORT AND CATASTROPHIC LOSS
Class Ac�ons GOVERNMENT LAW
Contract Disputes Automo�ve and Transporta�on
Corporate Li�ga�on Civil Rights and Liability Defense Transporta�on Law
Dealer & Franchise Li�ga�on Educa�on Law ERT Overview
Directors & Officers (D&O) Governmental Rela�ons and Strategic Advice Commercial General Liability
Emerging Businesses Personnel & Cons�tu�onal Law Hospitality Law
Errors & Omissions Public Safety Life Sciences and Medical Devices
False Claims Act Zoning and Land Use Premises Liability
Healthcare Products Liability
Intellectual Property INSURANCE COVERAGE AND Sexual Torts
Internet/E-commerce EXTRA-CONTRACTUAL LIABILITY Slander, Defama�on and Libel
Media, Adver�sing and Entertainment
Non-Compe��on & Trade Secrets Agents & Insurance Brokers [email protected]
Real Estate Li�ga�on Bad Faith and Extra-Contractual Defense
Real Property and Title Claims Claims Inves�ga�on www.fmglaw.com
Technology Coverage Analysis
Trademark & Copyright Coverage Li�ga�on
TROs and Injunc�ons Training

CONSTRUCTION AND DESIGN LAW LABOR AND EMPLOYMENT LAW

Architects & Engineers Design Liability ADA Li�ga�on and Compliance
Construc�on Defect Claims Affirma�ve Ac�on
Contract Dra�ing and Nego�a�on California Employer Advice & Consul�ng Group
Dispute Resolu�on Customer Discrimina�on & Disputes
Environmental Discrimina�on, Harassment & Retalia�on
Government Contracts & Wage Payment Diversity Training & Counseling
Fidelity and Surety EEO Training & Personnel Policies
OFCCP Employee Benefits Li�ga�on
Project Administra�on Employee Embezzlement & The�
Workplace Safety Employment Contracts & Severance Agreements
Fair Housing Act (FHA)
FLSA & Wage Hour Li�ga�on
NLRB & Collec�ve Bargaining
OSHA
Public Employers
Restric�ve Covenants & Trade Secrets