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LEGAL EMPLOYMENT
1993 - Present
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KREBSBACH & SNYDER
A
Professional Corporation
Founding Partner
New York, New York
Areas of concentration include complex securities arbitration, regulatory and
enforcement inquiries and proceedings before the SEC, NYSE, NASD and state
securities regulators, securities litigation in the federal and state
courts, appeals, mediation, and dispute avoidance,
representing clients through every stage of a proceeding through arbitration
hearing, enforcement hearing, trial and appeal.
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1987 - 1993
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SHEARSON
LEHMAN BROTHERS INC.
Director of Litigation Department
New York, New York
Director of Shearson Lehman Brothers' Litigation Department with
responsibility for managing its global litigation and arbitration caseload
and its 25 attorney in-house litigation group.
Significant Cases:
Shearson
v. McMahon, 482 U.S. 220 (1987): Successfully briefed and
argued this landmark case before the United States Supreme
Court
Rodriquez
de Quijas v. Shearson, 490 U.S. 477 (1989): Successfully
briefed and argued this landmark case before the United States Supreme
Court and the Fifth Circuit Court of Appeals.
Bird v. Shearson/American Express, 926 F.2d 116 (2d Cir.),
cert. denied, 111 S. Ct. 2891 (1991): Successful counsel of record.
Personally handled many of the firm's largest and most significant arbitrations and
federal court litigations.
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1985 - 1987
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SHEARSON/AMERICAN
EXPRESS
Director of Shearson/American Express In-House Litigation Group
Developed and managed a group of attorneys responsible for all litigation and arbitration
handled by the firm's in-house lawyers. Personally handled many of the most
significant arbitrations, state and federal court litigation and appeals.
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1980 - 1984
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SHEARSON/AMERICAN
EXPRESS
Litigation Attorney
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1978 - 1980
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REDMOND
& POLLIO, P.C.
Commercial Litigation Counsel
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EDUCATION
Fordham University School of Law
New
York, New York
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Juris
Doctorate - 1978
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University of Notre Dame
Notre
Dame, Indiana
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Bachelor of Arts - 1975
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TESTIMONY
UNITED STATES CONGRESSIONAL COMMITTEE
Testified before the Congressional Energy and Commerce Committee,
Subcommittee on Telecommunciations and Finance hearings on securities
arbitration reform (Washington, D. C., March 31, 1988)
THE RUDER COMMISSION
Testified before the National Association of Securities Dealers
Securities Arbitration Policy Task Force ("Ruder
Commission") hearings on securities arbitration reform (New York City, February 14, 1995)
NYSE SYMPOSIUM ON SECURITIES ARBITRATION
Testified before the New York Stock Exchange Symposium on
Arbitration in the Securities Industry (New York City, November 21, 1994)
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MEMBERSHIPS
ADMISSIONS
Member of the bars of New York State, the United States
Supreme Court, and various federal district and circuit courts nationwide,
including the Second Circuit Court of Appeals and the United States
District Court for the Southern District of New York.
BOARD OF EDITORS
Member, Board of Editors, Securities Arbitration Commentator (inception to present)
ARBITRATION PANELS
Serve as arbitration chairman and/or panelist at the National
Association of Securities Dealers, New York Stock Exchange, American Stock
Exchange, and American Arbitration Association
SECURITIES/LEGAL
NASD National Arbitration Committee (Currently serving 2002-2004 term and
served full three-year term 1991-1993)
Securities Industry Association (Compliance and Legal Division)
American Bar Association (Self Regulatory Organization Subcommittee)
Securities Industry Association Federal Regulation Committee Subcommittee
on Punitive Damage Reform (1992-1993)
Securities Industry Association Legal and Compliance Division Subcommittee
on Punitive Damage Reform (1992-1993)
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MEDIA APPEARANCES
Television appearances for interviews, discussions and debates on securities law
issues include:
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· CBS Nightly Business Report
· CBS Evening News
· CBS Today's Business
· NBC Today Show
· Lawline Cable Program
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Printed media interviews and quotations have appeared in:
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· Business Week
· Corporate Legal Times
· Dallas Morning News
· International Herald Tribune
· Investors Daily
· Money Magazine
· Newsweek
· New York Law Journal
· New York Times
· Wall Street Journal
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SEMINARS AND
SPEAKING ENGAGEMENTS
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Panelist:
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SIFMA Compliance & Legal Division: "40th Annual Seminar 2008"
Orlando, Florida, March 30 - April 2, 2008
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Panelist:
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SIFMA Compliance & Legal Division: "Annual Seminar 2007" Phoenix,
Arizona, March 25-28, 2007
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Panelist:
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Practicing
Law Institute: "Securities Arbitration 2006: Taking
Responsibility," New York City, New
York, August 16, 2006
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Panelist:
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New York Stock Exchange
"NYSE Regulation First Annual Securities Conference," Panel on Dispute
Resolution/Arbitration, New York City, New York,
June 22, 2005
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Faculty:
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NASD Dispute Resolution
Arbitrator Training, the "Discovery Arbitrator Pilot Program," Los Angeles,
California, June 8, 2005
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Faculty:
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Brooklyn Law School Lecture "The
History of Securities Arbitration," Brooklyn, New York, March 14, 2005
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Panelist:
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New York State Bar Association Seminar "Securities Arbitration 2004
- A Primer for the Practitioner," New York City, New York, October 26, 2004
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Panelist:
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Securities Industry Association Compliance and Legal Division
Seminar," Lake Buena Vista, Florida, April 7, 2003
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Panelist:
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Securities Industry Association Compliance and Legal Division
Seminar," Palm Desert, California, March 11, 2002
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Speaker:
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New
York County Lawyers Seminar "Securities ADR: Essential
Practical Skills in Arbitration and Mediation," New York City, New
York, June 21, 2001
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Panelist:
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Securities Industry Association Compliance and Legal Division
Seminar,"
Orlando, Florida, March
19, 2001
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Faculty:
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Practicing
Law Institute: "How New Products, Theories and Defenses Are
Changing the Landscape of Arbitration Practice," New York City, New
York, August 17, 2000
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Panelist:
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Securities
Industry Association "Arbitration/Mediation Palm Desert,
California," March 14, 2000
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Speaker:
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New
York County Lawyers Seminar "Securities ADR: Essential
Practical Skills in Arbitration and Mediation," New York City, New
York, June 24, 1999
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Panelist:
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New York County Lawyers Association "Basic Skills Course:
Arbitration," New York City, June
24, 1999
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Panelist:
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Securities Industry Association Compliance and Legal Division
Seminar, "Branch Office Supervision," Boca Raton, Florida, April
14, 1999
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Speaker:
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Public Investors Arbitration Bar Association
("PIABA") Annual Meeting, "Is Mandatory Arbitration Still Desirable?,"
Orlando,
Florida, October
24, 1998
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Speaker:
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American Bar Association Annual Meeting,
"Securities Arbitration: Past, Present and Future,"
Toronto, Canada, August
4, 1998
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Co-Moderator:
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American Bar Association First Annual National Institute
on Securities Litigation and Arbitration, "Examining the Customer, the
Representative, the Branch Manager, and the Other Participants in the
Process," New York City, June
18, 1998
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Panelist:
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The Association of the Bar of the City of
New York, "Hot Topics in Securities
Arbitration," New York City, June
10, 1997
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Panelist:
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Securities Industry Association Compliance and Legal Division
Seminar, "Arbitration/Mediation: Punitive Damages, Eligibility,
Mediation and Discovery," Orlando, Florida, March
17, 1997
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Speaker:
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NASD Regulation Inc. Small Broker-Dealer Conference,
"Arbitration," New York City, July
11, 1996
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Faculty:
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Practicing Law Institute and the American Arbitration
Association, "Securities Arbitration," New York City, February
15, 1996
(Live and Satellite broadcast)
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Faculty:
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Practicing Law Institute and the American Arbitration
Association, "Securities Arbitration for Experienced Practitioners,”
New
York City, August
16, 1995
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Speaker:
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Asian Financial Society, "Securities Arbitration:
Significant Issues and Recent Developments," New York City, March
23, 1995
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Speaker:
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National Association of Securities Dealers, Inc. Securities Arbitration Policy
Task Force ("Ruder Commission"), "Proposed Solutions to
Securities Arbitration Problems," New York City, February
14, 1995
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Speaker:
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New York Stock Exchange: Symposium on Arbitration in
the Securities Industry, "Pre-Dispute Arbitration Agreements,"
New York City, November
21, 1994
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Speaker:
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International Business Communications Mutual Fund Compliance,
"What to Do When Mutual Fund Compliance Violations Occur: Assessing
the Alternatives," New York City, November
17, 1994
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Faculty:
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National Association of Securities Dealers Mediation Training Seminar, New
York City, November 16, 1994
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Speaker:
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Strategic Research Institute Forum on Securities & Futures
Mediation, "Deciding What Cases are Appropriate for Mediation,” and
"Mock Mediation Workshop," New York City, September
13, 1994
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Faculty:
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Practicing Law Institute: Securities Arbitration
Program, "The New Age of Discovery," "Proving the Elements
of the Case," "Cross-Examination, Summations, and Reasoned Awards,"
New
York City, August
17, 1994
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Speaker:
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International Business Communications Conference on Bank Mutual Fund
Compliance, "What To Do When Compliance Violations Occur: Assessing
the Alternatives," New York City, June 7,
1994
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Moderator:
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Securities Industry Association Compliance and Legal Division
Seminar, "Recent and Pending Rule Changes in Securities Arbitration,"
Palm
Desert,
California, March
20, 1994
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Speaker:
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Law Journal Seminars-Press Press Employment Law and
Litigation Seminar, "Alternate Dispute Resolution: Now and For the Future,"
New York City, October
11, 1993
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Co-Chairman:
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Strategic Research Institute, L.P. General Counsel Forum on Alternative Dispute
Resolution, "ADR v. Litigation: Why Are Many Corporations Opting for ADR," New York City, September
22, 1993
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, July 14, 1993
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Moderator:
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Securities Industry Association Compliance and Legal Division
Seminar, "Securities Arbitration Update,"
Orlando, Florida, March
22, 1993
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Faculty:
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American Arbitration Association Securities Arbitrator Training Program, New York City, March 18, 1993
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Speaker:
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National Association of Securities Dealers Fifth Annual Education Seminar,
"Arbitration," New York City, November
4, 1992
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, July 22, 1992
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Speaker:
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District of Columbia Bar Access to Justice Program,
"Securities Arbitration: A Legitimate Substitute for Litigation?,"
Washington, D.C., February
19, 1992
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, July 17, 1991
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Speaker:
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National Association of Securities Dealers Securities Conference,
"Arbitration,” Miami, Florida, May 23, 1991
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Moderator:
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Shearson Lehman Brothers Securities Arbitration
Roundtable, "Dialogue Among Securities Arbitration Claimant and
Defense Counsel,” May 14, 1991
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, July
18, 1990
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Moderator:
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Securities Industry Association Compliance and Legal Division
Seminar, "Securities Arbitration Update,”
Palm Desert, California, March
21, 1990
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Faculty:
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Practicing Law Institute Broker-Dealer Institute 1989,
"Developments in Securities Arbitration Law and Practice,”
New York City, November
13, 1989
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, October
6, 1989
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, July
13, 1989
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Moderator:
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Securities Industry Association Compliance and Legal Division
Seminar, "Securities Arbitration Update,”
Orlando Florida, April 5,
1989
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Faculty:
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Practicing Law Institute Securities Litigation 1989,
"Broker-Dealer Litigation, New York City, September
19, 1989
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Co-Chairman:
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Prentice Hall Law & Business "Securities Arbitration
Update,” New York City, January
30, 1989
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Speaker:
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New York State Bar Association Seminar, "Negotiation and
Dispute Resolution Skills,” New York City, June
23, 1988
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Speaker:
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Securities Industry Association Legal and Compliance Division,
"Status of SEC and Congressional Arbitration Reform Hearings,”
New York City, June
21, 1988
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Faculty:
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Practicing Law Institute Program on Securities
Arbitration, New York City, June 1,
1988
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Speaker:
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American Arbitration Association Arbitration Day 1988 Program,
"Effective Arbitration Advocacy,” New York City, May 6,
1988
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Panelist:
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American Bar Association Annual Meeting,
"Arbitration and Financial Services,”
Philadelphia, Pennsylvania, March
25, 1988
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Speaker:
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New York
Institute of Finance, "Securities Arbitration
1988,” New York City, January
15, 1988
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Speaker:
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American Arbitration Association, "Shearson/American
Express v. McMahon: Arbitrating Securities Claims,” New York City, October
1, 1987
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Faculty:
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Practicing Law Institute, "Deposition Techniques in
Commercial Litigation,” New York City, June
16, 1987
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Speaker:
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American Arbitration Association Arbitration Day 1987 Program,
"The Impact of Shearson v. McMahon,” New York City, May 7,
1987
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Moderator:
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Securities Industry Association Compliance and Legal Division
Seminar, "Securities Arbitration Update,”
Marco Island, Florida, April 1,
1987
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ARTICLES PUBLISHED
"Keep the Arbitration Moving: Enforcing Discovery Deadlines and
Legitimate Information Requests," NASD's The Neutral Corner featured
article, October 2004 (with Brian N. Smiley)
"Cross-Examining the Unsuitable Investor,"
New York State Bar Association, October 26, 2004
"Arbitration Update,” Securities Industry Association, March 17,
1997 (With Matthew Farley and Richard L. Martens)
"Settlement of Broker Dealer Arbitrations,” Practicing Law
Institute, May 1, 1995
"Pre-dispute Arbitration Agreements,” New York Stock Exchange, Inc. Symposium
on Arbitration in the Securities Industry, Fordham Law Review, Volume LXIII,
Number 5, April 1995
"Bank Mutual Fund Compliance,” International Business
Communications Seminar, November 17, 1994 (With Philip J. Hoblin, Jr.)
"Deciding What Cases are Appropriate for Mediation,” Strategic
Research Institute, L.P., September 13, 1994 (With William A. Olshan)
"Openings, Summations and Legal Briefs: Techniques & Strategies,”
Practicing Law Institute, August 17, 1994
"Bank Mutual Fund Compliance: What to do When Compliance Violations
Occur: Assessing the Alternatives,” International Business
Communications Seminar, June 7, 1994 (With Philip J. Hoblin, Jr.)
"Defense Counsel Perspective,” Securities Arbitration Commentator, Volume 6, Number 4, May 1994
"Securities Arbitration Today: Defense Counsel Perspective,”
Securities News, American Bar Association Committee on Securities
Litigation, Volume 3, Number 3, Summer 1994
"Recent and Pending Rule Changes and Developments in Securities
Arbitration,” Securities Industry Association Legal and Compliance
Division Annual Meeting Course and Materials, March 21, 1994 (Also March
22, 1993, April 6, 1992, April 30, 1991, March 21, 1990
"Alternative Dispute Resolution: In-House Brokerage Counsel's
Perspective,” Law Journal Seminars Press Second Annual Employment
& Litigation Conference, October 12, 1993
"ADR v. Litigation: Why Are Many Corporations Opting for ADR (Resolving Disputes Between
Clients and Broker-Dealers),” Strategic Research Institute, September
22, 1993
"Defending Brokers and Broker Dealers: Inside Counsel's Perspective,”
Practicing Law Institute, Volume 2, July 14, 1993 (with Paul M. Foster and
Karen Fine)
"Arbitration,” National Association of Securities Dealers
Educational Seminar, October 5, 1992
"Defending Brokerage Firms Against Customer Complaints,”
Practicing Law Institute, Volume 2, July 22, 1992 (with Jeffrey L.
Friedman) (also July 17, 1991 and July 18, 1990)
"Enforceability of Agreements to Arbitrate,” Practicing Law
Institute, November 13, 1989 (with Jeffrey L. Friedman)
"Broker Dealer Litigation,” Practicing Law Institute, September
19, 1989 (with Jeffrey L. Friedman) (also October 7, 1988)
"Securities Arbitration: Defending a Brokerage Firm,” Practicing
Law Institute, July 13, 1989 (with Jeffrey L. Friedman) (also June 1, 1988,
and October 6, 1987)
"The Arbitral Forum,” Prentice Hall Law & Business, January 30,
1989 (with Jeffrey L. Friedman)
"Arbitration Reform,” Hearings Before the Subcommittee on
Telecommunications and Finance of the Committee on Energy and Commerce, One
Hundredth Congress, Second Session, Serial Number 100-216, pages 74-107,
U.S. Government Printing Office, Washington, D.C., 1989.
"Alternatives to Dispute Resolution,” New York State Bar Association, July
23, 1988 (with Jeffrey L. Friedman)
"Attorney-Client Privilege in the Deposition Context: Considerations for In-House Counsel,”
Practicing Law Institute, June 16, 1987 (with Jeffrey L. Friedman)
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THEODORE A. KREBSBACH
Legal Employment | Testimony
| Education
Memberships | Media
Appearances
Seminars and Speaking Engagements |
Articles Published
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