NASD - Key Persons

Eric Sussman began his professional career as an academic counselor and university administrator. He began his law career as a staff attorney with the New York Stock Exchange ("NYSE") - Department of Enforcement. While there, he rose to the position of Senior Special Counsel. Mr. Sussman participated in all phases of enforcement proceedings brought by the NYSE against its membership. Included were prosecutions against large broker/dealer members of the NYSE, as well as floor traders and floor governors.Subsequently, Mr. Sussman joined the Law Department of Prudential Securities Incorporated. At Prudential Securities, Mr. Sussman served as in house counsel on all regulatory matters including investigations and enforcement proceedings brought by the NYSE, the National Association of Securities Dealers ("NASD"), the Securities and Exchange Commission ("SEC") and various State securities regulators. He also represented the broker/dealer and numerous registered representatives of the firm in arbitration matters brought before the NASD, the NYSE and the American Arbitration Association.Mr. Sussman later joined the Law Department of PaineWebber Securities as a Divisional Vice President for Regulatory Affairs. While at PaineWebber, he represented the broker/dealer and its employees before the NASD and the NYSE and all of the various State and Federal securities regulators.In 1995, Mr. Sussman opened his own private law practice. His concentration was on securities regulatory matters and securities arbitrations. He has represented both registered representatives and customers in all securities matters; including regulatory actions and arbitrations. Mr. Sussman frequently sits on arbitration panels for the both the NASD and the NYSE (both now FINRA). He has served as Chairperson on numerous arbitration panels.Mr. Sussman previously served as a Commissioner of the Nassau County Planning Commission. He has a wide range of experience in real estate, zoning, planning and municipal matters. Mr. Sussman also represents people in a range of small business/corporate matters and personal matters.Mr. Sussman has provided his services in numerous capacities in multiple political campaigns. He continues to provide both legal advice and political advice to a number of presently serving politicians.Mr. Sussman serves as a member of the Board of Directors of the Friends of the Adelphi University Library. He has served on the Board of Trustees of his temple and been active in various activities of his community. Some of these activities have included serving for 17 years on a municipal financial review board and serving on an exploratory aquatic center committee.Mr. Sussman received his Bachelors Degree in 1974 from Adelphi University. He holds the Master of Arts (1975) and Master of Education (1977) degrees from Columbia University, as well as the Master of Business Administration degree (1981) from Adelphi University. He earned his Juris Doctor in 1987 from St. John's University School of Law. Mr. Sussman is admitted to practice before all of the courts of the State of New York and the State of Connecticut. He is also admitted to practice before the Federal Courts for the Eastern and Southern Districts of New York as well as the Federal Tax Courts.