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

• 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)

• 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