Curriculum Vitae of Roy Futterman, Ph.D. Director DOAR Litigation Consulting

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1 Curriculum Vitae of Roy Futterman, Ph.D. Director DOAR Litigation Consulting Roy Futterman, Ph.D. is a Clinical Psychologist and Director in DOAR s trial strategy consulting group, advising clients on some of the country s largest and most complex litigation since Dr. Futterman has extensive experience overseeing mock trials and focus groups, providing strategic analysis and trial recommendations for civil and criminal cases, preparing witnesses, and selecting juries in federal and state courts. Dr. Futterman received his B.S. from Boston University and his Ph.D. in Clinical Psychology from the Derner Institute at Adelphi University. In psychology and trial consulting, he has worked toward greater integration of psychological theory and technique into trial consulting. Dr. Futterman uses these clinical skills to prepare individual witnesses for trial and to explore and understand the thoughts and behaviors of groups of mock and actual jurors. He has worked with attorneys to develop persuasive legal strategy for a wide variety of civil and criminal cases including those involving securities fraud, intellectual property, class actions, employment, contracts, whistle-blower/qui tam, probate, medical malpractice, asbestos, personal injury, sex crimes and homicide. Dr. Futterman has been instrumental in helping attorneys secure large jury verdicts and settlements. Over the course of multiple lawsuits, he has been advising Irving Picard, the Trustee recovering money for the victims of Bernard Madoff s fraud, resulting in the recovery of over one billion dollars. He also played a substantial role in securing a $250 million jury verdict in the gender discrimination class action trial Velez et. al. v Novartis Pharmaceuticals Corp., selecting the jury, preparing the witnesses, analyzing focus group research, and providing live trial strategy consultation. In addition, he assisted the family in the Huguette M. Clark Probate Proceeding to favorably settle and void the will in the dispute over a $300 million estate. He also assisted the plaintiffs in settling the fraud case Crown Cork & Seal v. Credit Suisse for $400 million. Dr. Futterman has been a columnist for Law360, and has published journal articles and book chapters on such topics as strategic jury selection, psychologically-based witness preparation techniques, and various psychological topics. As an expert on juries, he has been interviewed and quoted in such media outlets as the New York Times, The NBC Nightly News, ABC s Nightline, Fortune, Bloomberg, Above The Law, Huffington Post and PC World. Dr. Futterman is also a Jury Consultant Advisor on New York University School of Law s Civil Jury Project. Representative Engagements Douglass Elliman Real Estate v. Lisa Theiss, William Raveis Real Estate, et. al Judge Scheinkman, Supreme Court of the State of New York, Westchester County, June Assisted the plaintiff in winning a jury verdict with punitive damages in a breach of fiduciary duty and tortious conduct case. Consulted on trial strategy and assisted in selecting the jury.

2 2 Steven Novick v. AXA Network LLC and AXA Advisors LLC Judge Hellerstein, SDNY, July Led the trial strategy team assisting the defense in winning a jury verdict in an employment/whistleblower retaliation case. After a three-week long trial beginning with a $30 million demand, the jury deliberated for about an hour before deciding to award the plaintiff nothing, and the judge decided that the plaintiff, in fact, had to pay the defendant $400K. Created and analyzed focus group research and assisted with jury selection. Masakazu Ushijima v Samsung Electronics Judge Yeakel, US District Court for the Western District of Texas, Austin Division, Feb Led the trial strategy team assisting the defense in winning a jury verdict in an intellectual property trial with a $30 million demand. Shifts in trial strategy following focus groups led to a defense jury verdict in a case about allegations of patent infringement of complex electronic circuit technology design. Created and analyzed focus group research. Edwin Parmenter v. Farmers Insurance Co., Inc. et al. Judge Rosenblatt, Superior Court of State of California, August Assisted the defense in winning a jury verdict in a whistle-blower case. After a multi-week trial in which the plaintiff alleged retaliation for whistleblowing, the jury returned a verdict for the defense. Prepared key witnesses and assisted with focus group research. Richard Diana v. Edward and Phyllis Maslow Judge Mendez, NY State Supreme Court, May Lead consultant assisting the defense in winning a jury verdict in a personal injury case. Following a trial featuring a highly sympathetic plaintiff, the jury found for the defense. Consulted on trial strategy and assisted in selecting the jury. US ex rel. Nyle Hooper v Lockheed Martin Corporation Judge O'Connell, Central District of California, Western Division, March Assisted the defense in winning a jury verdict in a qui tam/whistle-blower case. In a trial involving potential damages over $1 billion, significant alterations in trial strategy following alarmingly unfavorable mock trial results contributed to a defense jury verdict. Created and analyzed mock trial research and consulted on opening, closing and trial strategy. In Re: NY Asbestos Litigation: Brown v Bell & Gossett & McCloskey v A.O. Smith Judge Jaffe, NY State Supreme Court, March Assisted the defense in winning jury verdicts in two asbestos cases. After a complicated multiweek, multi-defendant trial in which many settled along the way, the jury awarded minimal damages to the remaining defendants below the level offset by the settlements. Consulted live on ongoing strategy during trial. Reliance Industries Ltd, BG Exploration and Production India Limited v. Government of India International Arbitration, Hong Kong, Assisted one plaintiff in winning a successful international arbitration judgement regarding the Indian government s relationships with oil companies with hundreds of millions of dollars in total damages. Prepared a key witness using witness familiarization techniques as required in international arbitration regulations.

3 3 US ex rel. Donald Gale v Omnicare, Inc. Judge Gwin, US District Court for the Northern District of Ohio, Eastern Division, October Led the trial strategy team assisting the plaintiffs, resulting in a $120 million settlement in a qui tam/whistle-blower case. After learning that focus group participants responded extremely favorably to the whistleblower, the plaintiff trial team settled the case for ten times their previous valuation. Created and analyzed focus group research, prepared the main witness and consulted on the opening and voir dire strategy. Huguette M. Clark Probate Proceeding Judge Anderson, New York Surrogate Court, September Led the trial strategy team assisting the family in a probate case about a $300 million estate, resulting in a favorable settlement and voiding of a will on the eve of trial. In a case involving allegations of mistreatment of an unusual, wealthy New York historical figure, developed litigation strategy bringing her personality to the fore. Created and analyzed focus group research and assisted with jury selection. Crown Cork & Seal v. Credit Suisse Judge Graham, Southern District of Ohio (Held in SDNY). March Led the trial strategy team assisting the plaintiffs, resulting in a $400 million settlement on the eve of a fraud trial. For a case about a complex Ponzi scheme fraud using derivatives, created and analyzed focus group research, and consulted on voir dire strategy. Irving H. Picard, Trustee for the Liquidation of Bernard L. Madoff Securities LLC v. Saul B. Katz, Fred Wilpon and Sterling Equities Judge Rakoff, SDNY, March Led the trial strategy team assisting the Trustee in recovering money for the victims of Bernard Madoff s fraud resulting in the Trustee receiving a $162 million settlement from the owners of the New York Mets on the eve of trial. In addition to ongoing strategic consultation across the Madoff recovery litigation, created and analyzed focus group and mock trial research for this case involving allegations of willful blindness against investors in close contact with Madoff, prepared expert witnesses for trial, consulted on voir dire and trial strategy. UBS Financial Instrument Arbitrations Multiple arbitrations, Led the trial strategy team assisting the defense in multiple arbitrations related to the sale of a financial instrument. Following changes in strategy stemming from multiple rounds of mock arbitrator research, the defense proceeded to win a series of arbitration judgments. Created and analyzed mock arbitration research. Irving H. Picard, Trustee for the Liquidation of Bernard L. Madoff Securities LLC v. Tremont Partners Judge Lifland, SDNY, July Led the trial strategy team assisting the Trustee in recovering money for the victims of Bernard Madoff s fraud resulting in the Trustee receiving a $1 billion settlement. In addition to its influence on this settlement, focus group research begun shortly after the exposure of the Madoff fraud led to the development of litigation strategy, themes and language incorporated into hundreds of complaints as well as scores of settlement negotiations.

4 4 Mary Strenko v. Chubb & Son Judge LeBlon, New Jersey State Court, July Lead consultant assisting the defense in obtaining a settlement in an employment discrimination case. In a trial with emotional testimony about alleged discrimination against a disabled plaintiff, the defense designed a favorable settlement. Assisted in jury selection, prepared key witnesses, ongoing trial strategy consultation. Lori Llevano v. Roosevelt Hotel Judge Oinge, NY State Supreme Court, April Lead consultant assisting the plaintiff in winning a jury verdict in a negligence case related to an assault. After a hotel guest was assaulted by an intruder who pushed her into her room, a jury awarded damages to the guest due to the hotel s inadequate security. Assisted with jury selection, prepared the plaintiff, provided live trial strategy consultation. Estate of Ryan George v. Sutter Health Judge LaPorte, US District Court, Northern District of California, February Led the trial strategy team assisting the plaintiffs in obtaining a settlement in a civil rights, negligence and wrongful death case. Following multiple settlements and a hung jury in a raciallycharged case, the plaintiffs were able to create a final settlement with the remaining parties. Selected the jury and prepared key witnesses. Plasma Physics Corp. et al. v. Chi Mei Optoelectronics Judge Wexler, EDNY, January Lead consultant assisting the plaintiff in winning a jury verdict in a patent case. After a trial about highly complicated technology, the jury awarded the plaintiff $10 million for the infringement of his patent. Selected the jury and prepared an expert witness. Louvenia Armstrong, et. al. v. Whirlpool Corporation Judge Trauger, US District Court for the Middle District of Tennessee, January Led the trial strategy team assisting the plaintiffs in obtaining a settlement in a racial discrimination employment case. Following focus group research on racially charged allegations, the trial team negotiated a favorable settlement for three plaintiffs. Prepared the plaintiffs, created and analyzed focus group research. Velez et. al. v Novartis Pharmaceuticals Corp. Judge McMahon, SDNY, May Led the trial strategy team assisting the plaintiffs in winning a $250 million jury verdict in a gender discrimination employment class action trial. After lengthy deliberations, the jury awarded damages far beyond the expectation of the trial team and far above the norm for similar cases. Selected the jury, prepared the plaintiff and expert witnesses, created and analyzed focus group research, and provided ongoing live trial strategy consultation. Moises Mendez v. Starwood Hotels & Resorts Worldwide. Inc. Judge McMahon, SDNY, March Led the trial strategy team assisting the defense in obtaining a favorable jury verdict in a racial discrimination employment case. Despite risky racially charged allegations, the jury awarded a relatively small damages amount that was further reduced to only $10,000 by the judge. Selected the jury, created and analyzed focus group research.

5 5 D. B. Zwirn Special Opportunities Fund, L.P. v. Brin Investment Corp. Judge Fried, New York State Supreme Court, February Led the trial strategy team assisting the plaintiff in winning a jury verdict in a contract case between two large financial institutions regarding $30 million in damages. After a significant change in the plaintiff s trial strategy following focus group results, the jury awarded full damages to the plaintiffs. Selected the jury, created and analyzed focus group research, and advised on the opening. Mendoza, et al. v. Delgado Travel Agency, Inc., et al Judge Baer, SDNY, April Led the trial strategy team assisting the defense in winning a jury verdict in a class action employment case. After a trial multi-week featuring a $23 million demand and many sympathetic plaintiffs, the jury decided for the defense. Created and analyzed focus group and mock trial research. MJK Clearing v. Deutsche Bank US District Court in Minnesota, March Led the trial strategy team assisting the defense in obtaining a settlement in a securities fraud case. In a case involving a bank employee s admitted fraud, the defense was able to create a favorable settlement. Created and analyzed focus group research. Colaitis v. Benihana Judge Mahon, New York State Supreme Court, January Assisted the defense in winning a jury verdict in a personal injury case. After an unusual trial with allegations that a Benihana chef s playfully tossed shrimp caused a diner s death a year later, the jury found for the defense. Created and analyzed focus group research. T.E.A.M. Entertainment v. Ashanti Douglas Judge Rakoff, SDNY, July Assisted the plaintiff in winning a jury verdict in a contract case between the singer Ashanti and her former manager. After a trial in which a celebrity tried to disavow her pre-celebrity manager, the jury awarded damages to the plaintiff. Prepared the plaintiff and assisted in jury selection. Merrill Lynch Tyco Stock Arbitrations Multiple arbitrations, Assisted the defense in winning in multiple arbitrations related to their sale of Tyco stock. After complex research involving multiple panels of mock arbitrators, the defense successfully honed their strategy for a variety of successful arbitration judgements. Created and analyzed mock arbitration research. Representative Publications Susman, S, Jolly, Richard L, & Futterman, R. (2017) Nine-part Civil Jury Project Trial Innovation series Innovating For Wise Juries, Law Futterman, R. ( ) Weekly column Talking Bull, Law360.

6 6 Futterman, R. (2016) Secretly Guiding A Jury s Emotions, Law360, Futterman, R. (2016) Will Dr. Bull Affect Actual Jurors?, Law360, Futterman, R. (2016). The Psychological Edge Of Relieving Stressed Jurors. Law360, Futterman, R. (2016). Are We Driving Jurors To The Internet?, Bloomberg Law, Futterman, R. (2015). Using The Other Side's Strikes: Regulating The Information Flow To Steer Your Opponent In Voir Dire. The Jury Expert, 27 (2). Futterman, R. (2014). Podcast: Voir Dire; Theory and Technique. American Bar Association. Futterman, R. (2012). Conducting the Orchestra: Coordinated Witness Preparation for Employment Litigation. Executive Counsel, June/July. Futterman, R. (2011). Playing the Other Side s Hand: Strategic Voir Dire Technique. The Jury Expert, 23 (2). Futterman, R. (2011). Increasing Predictability in Employment Case Results. Metropolitan Corporate Counsel, 19 (4). Futterman, R. (2011). Mocking the Entire Bar: Applying Jury Research Techniques to Mock Judicial Panels and Mock Arbitrations. Metropolitan Corporate Counsel, 19 (3). Brickman, E., Blackman, J., Futterman, R. & Dinnerstein, J. (2008). How Juror Internet Use Has Changed the American Jury Trial. Journal of Court Innovation, 1 (2), Futterman, R. (2008). Five chapters in Solomon, S. H., Gallant, J., Esser, J. P. (Eds.). The Science of Courtroom Litigation: Jury Research and Analytical Graphics, New York: ALM Publishing. Advanced Witness Preparation Using Psychological Techniques; The Mock Trial and the Emotionally Resonant Interpersonal Narrative; (with Thompson, E.) Using Focus Group Research to Develop Best Arguments; (with Vaidyanathan, V.) Research-Informed Jury Selection and the Community Attitude Survey; (with Esser, J. P.) Do I Have to Unlearn Jury Consulting?: Alternative Dispute Resolution and the Rise of Mock Arbitration. Representative Presentations Trying the Employment Case: Strategies for Success, Gibbons Employment and Labor Law Conference, Parsippany, NJ, February 2016

7 7 Jury Experts and Trial Consultants: Practical and Ethical Aspects to Choosing and Charming Juries to Maximum Effect. Winston & Strawn, New York, NY, April 2015 Alternative Uses for Jury Consulting, Baker Hostetler, Houston, TX, September 2013 From Behind the Two-Way Mirror: A Jury Consultant s Trial Strategy for Hedge Funds, Argyle Hedge Fund General Counsel Leadership Forum, New York, NY, September 2011 Psychological Technique for Jury Selection, New York State Prosecutors Training Institute, Albany, NY, May 2011 Using Psychological Techniques for Jury Selection, The Nassau County Bar Association, Mineola, NY, March 2011 Reverse Engineering Discovery: Valuation and Issue Refinement, Masters Conference for Legal Professionals, Washington, DC, October 2010