Scot Bernstein Attorney

First Admitted: 1980, California

Professional Webpage: http://www.sbernsteinlaw.com/BernsteinCV.asp

Bar/Professional Activity:

Public Investors Arbitration Bar Association ("PIABA")
Taxpayers Against Fraud Education Fund Member
California Employment Lawyers Association (“CELA”) Board of Directors since 2010 Co-Chair of CELA Legislative Committee Member of Wage & Hour Committee Active on numerous other committees and task forces
Member, National Employment Lawyers Association (“NELA”)
North American Securities Administrators Association (Speaker at Education Conference in 2008)

Verdicts/Settlements (Case Results):

See CV on File

Representative Clients:

Cliver, et al v. Rainbow Apparel Company, U.S. District Court, Northern District of California, Civil Action Number C 99-4425 PJH
Chester v. iFreedom Communications, Inc., et al, Los Angeles County Superior Court Case Number BC353567
Lazarin et al. v. Total Western, Inc. 188 Cal.App.4th 1560, 116 Cal.Rptr.3d 596, review denied, Jan. 19, 2011, S188164, 2010
Drew v. HCR Manor Care Medical Services of Florida, LLC, et al., San Francisco County Superior Court Case # GCG-09-490181
Lori Davis, et al v. Apollo Group, Inc., University of Phoenix, Inc., et al, Solano County Superior Court Case Number FCS018663
In Re Microstrategy Inc. Securities Litigation, U.S. District Court, Eastern District of Virginia, Civil Action Number 00-473-A
Lippitt v. Raymond James Financial Services, et al 340 F.3d 1033, 9th Cir. 09/22, 2003
Lee v. Marshalls of CA, LLC, Alameda County Superior Court Case Number RG07337021
Ahmed Ali, et al, v. Morton’s of Chicago/Sacramento, Inc., Sacramento County Superior Court Case Number 04AS04417
U.S. Robotics Cases, California Judicial Council Coordination Proceeding Number 4012
Stop Youth Addiction v.Lucky Stores, 17 Cal.4th 553, 950 P.2d 1086, 71 Cal.Rptr.2d 731, 1998
MatrixWage and Hour Cases, California Judicial Council Coordination Proceeding Number 4610
Ronald Hart and Judy Vezeau v. K Mart Corporation, et al, Los Angeles County Superior Court Case Number BC 347079

Pro bono/Community Service:

See CV
Comment letters submitted to the Financial Industry Regulatory Authority ("FINRA,”formerly known as the“NASD”)
Comment letter submitted to the California Division of Labor Standards Enforcement
Public Investors Arbitration Bar Association ("PIABA") - Served on board of directors for eleven years, served as Treasurer, served as committee chair, served on multiple committees and was a speaker at multiple conferences
California Employment Lawyers Association (“CELA”) - Served on board of directors from 2012 through 2022, committee co-chair from approximately 2010 through the present, member of multiple committees, and speaker
President, Sacramento County Bar Association’s Small Law Practice Section
Comment letters regarding investor protection submitted to the U.S. Securities and Exchange Commission ("SEC")
Federal Cave Resources Protection Act - comment on proposed regulations

Honors/Awards:

See CV, See CV

Educational Background:

Boalt Hall School of Law, JD, 1980, 1980
UCLA, Magna Cum Laude, Tau Beta Pi, Phi Beta Kappa and Omicron Delta Epsilon (economics honors society), 1977

Scholarly Lectures/Writings:

Brief Spotlight: The Inapplicability of Statutes of Limitation on Actions to Private Contractual Arbitration Proceedings, 9 PIABA Bar Journal, no. 2, pp. 79-85, Summer, 2002
View from the West: Getting Paid – Parts 1 & 2 (concerning securities brokers’ liability insurance), 9 PIABA Bar Journal, no. 1, pp. 37-39 (Spring 2002) and no. 2, pp. 55-60, Summer, 2002
Brief Spotlight: Your Clients' Right to a Hearing, 9 PIABA Bar Journal, no. 1, pp. 42-47, Spring, 2002
NASD Intake Staff Harassment of Public Customers,6 The PIABA Quarterly, no.1,pp.8-10, March, 1999
NASD Lists of Arbitrators' Closed Cases Exclude Cases Resolved by Granting 'Dismissal Motions', 5 The PIABA Quarterly, no. 4, p. 8, December, 1998
NASD Policy of Granting Certain Causal Challenges by Securities Industry Respondents, 5 The PIABA Quarterly, no. 4, p. 11, December, 1998
NASD 'Streamlining' of the Arbitrator Pool, 5 The PIABA Quarterly, no. 4, p. 17, December, 1998
Bad Investments and the Medical Profession–Parts 1 and 2, 43 Sacramento Medicine 24-26 (March 1992) and 23-24 (April 1992), 1992
Choosing a Form of Business Entity, 4 Weekly Bulletin, no. 14, pp. 6-7, 1990
Broker Promissory Notes: Economics, Policy, and Offsets under the Wage-and-Hour Laws, PIABA Nineteenth Annual Meeting, October, 2010
Avoiding the Uncollectible Judgment: Clues at the Case Intake Stage, California Employment Lawyers Association Advanced Wage and Hour Seminar, May, 2009
Stacking the Deck in Arbitrator List Selection: A Study in Regulatory Failure and A Practical Look at the Consequences, PLI Securities Arbitration 2007, August, 2007
Broker Liability Insurance from the Claimant's Perspective, PLI Securities Arbitration August, 2003
Unpaid Awards and Investor Protection: Identifying the Continuing Problem and Collecting What Is Due, PIABA Fifteenth Annual Meeting, (co-authored with C. Thomas Mason III), October, 2006
Arbitrating at the AAA: Differences from SRO Arbitration and Other Points of Interest, PIABA Fourth Annual California Mid-Year Meeting, March, 2006
Maximizing Investor Recoveries: Errors & Omissions Insurance and Net Capital, PIABA California Third Annual Mid-Year Meeting: Securities Arbitration Update, (co- authored with C. Thomas Mason III, March, 2005
Broker Liability Insurance in Securities Arbitration, PIABA California Second Annual Mid- Year Meeting: Securities Arbitration Update, February, 2004
Your Clients' Right to a Hearing, PIABA Twelfth Annual Meeting, October, 2003
PIABA California Mid-Year Meeting: Securities Arbitration Update, February, 2003
Understanding NLSS or How I Learned To Stop Worrying and Love List Selection, PIABA Ninth Annual Meeting, October, 2000
Making, Combating and Replying to Dispositive Motions, PIABA Seventh Annual Meeting, October, 1998
Tampering with List Selection by Enhancing the Appointment Frequency of “Chair-Qualified” Arbitrators, 13 PIABA Bar Journal, no. 2, pp. 13-28, Summer, 2006
View from the West: Unpaid Securities Arbitration Awards: Proposed Solutions to the Problem, 11 PIABA Bar Journal , no. 1, pp. 35-50, Spring, 2004
View from the West: Things Every Arbitrator Should Know, 10 PIABA Bar Journal, no. 2, pp. 21-35, Summer, 2003
View from the West: Should You Challenge an Arbitrator for Cause or Make a Motion or Request for Recusal?, 10 PIABA Bar Journal, no. 1, pp. 71-78, Spring(co-authored with Tracy Pride Stoneman), 2003
View from the West: The California Situation: More Questions than Answers (concerning the battle over California's arbitrator ethics standards), 9 PIABA Bar Journal, no. 4, pp. 47-56, Winter, 2002
View from the West: Causal Challenges and the Chinese Wall, 9 PIABA Bar Journal, no. 3, pp. 11-13, Fall, 2002

Other Outstanding Achievements:

See CV

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