ayno Chartism of the Board and Chief Executive Officer Alan C. Greenberg" Chairmen of the Executive Committee Alan D. Schwartz""' President and Co-Chief Operating Officer Warren J. Specter'"' President and Co•Ctief Operating Officer Henry S. Biener" Resident, Northwestern University Carl D. adama

convinced Epstein to move FTC's investments from the High-Grade Fund into the Enhanced Fund. Respondent Spector, who at the time was President and Co-Chief Operating Officer of Bear Steams, personally solicited FTC, through Epstein, to invest in the Enhanced Fund, providing clearly misleading and false

e Chief Executive Officer of The Bear Steams Companies. I also was Chairman of the Board from 2001 to 2008. 3. Warren Spector was Co-President and Co-Chief Operating Officers of The Bear Steams Companies from 2001 until August 2007. Mr. Spector was responsible for overseeing the hedge fund business of

Executive Officer on January 8, 2008, but remained with Bear Stearns as the non-executive chairman through 2. Warren Spector was Co-President and Co-Chief Operating Officer of Bear Stearns from June 2001 to August 2007. Warren was forced to resign from those positions on August 5, 2007, but remained e

January 2008 and Chairman of the Board from 2001 until Bear Stearns' collapse in March, 2008. 10. Warren Spector ("Spector") was Co-President and Co-Chief Operating Officer of Bear Stearns from 2001 until August 2007. Spector was forced to resign these EFTA00729584 Case: 3:09-cv-00106 Document #: 1

ation process. RSU: Restricted Stock Units. Sarbanes-Oxley Act: Sarbanes-Oxley Act of 2002. Schwartz: Defendant Alan D. Schwartz, Co-President and Co-Chief Operating Officer of Bear Stearns. He became sole President on August 5, 2007. Scratch and Dent Loans: Risky mortgages that were already in default

hen his resignation was announced, Bear Steams share price plunged nearly 7%. B. Alan D. Schwartz 464. As Chief Executive Officer, Co-President, Co-Chief Operating Officer, and director of Bear Steams, Defendant Schwartz participated in the issuance of, and signed and certified as accurate and comple