INDEPENDENTPS"YCFIlIA.TIR.IC

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DoonamKi~M.D.SUBJECT:DATEOFBIRTH:DATEOFREPORT:PURPOSEOFEVALUATION

TONG,ANDREW

December12,1969

January

10,2007Mr.AndrewTongisa37year-old,married,Chinesemalewholiveswithhiswife,LingJiaZhang.Hehasnochildren.HeiscurrentlyunemployedandlivesinJerseyCity,NewJersey.HehadmostrecentlyworkedforSACCapitalManagementasafinancialtraderunderMr.PingJianguntilhe~asterminatedinApril2006.Mr.ParisisG.Filippatos,PLLCrequestedthatIconductapsychiatricevaluationofMr.Tong.ThepurposeofthisevaluationistoprovideacomprehensivepsychiatricassessmentanddiagnosticimpressionofMr.Tong.Inadditiontomyoverallassessment,Mr.FilippatosrequestedthatIaddressthefollowingspecificissues/questions:

1.Whatpsychiatricdiagnoses.

any,doesMr.Tongsufferfrom?2.DoesMr.TongsufferfromsignsandsymptomsindicativeofPosttraumaticStressDisordersuggestingahistoryoftrauma?3.AretherepotentialpersonalityorculturalfactorsthatmayhavecontributedtoMr.Tong'sexperiences?4.WhatisMr.Tong'scurrentleveloffunctioningandwhatperiodoftimeisanticipatedbeforehemightreturntohisbaselineleveloffunctioning?

PSYCHIATRICOPINIONAftermyassessmentofMr.Tongandreviewofrecordsprovided,itismyopinion,withareasonabledegreeofmedicalcertainty,thatMr.TongmeetsthediagnosticcriteriaforPosttraumaticStressDisorder,MajorDepressiveDisorder,andaPersonalityDisorderNotOtherwiseSpecified(NOS)withDependentFeatUresasdefinedbytheAmericanPsychiatricAssociationDiagnbsticandStatisticalManualofMentalDisorders,FourthEditionTextRevision,(DMS-IV-TR).HisdiagnosisofPosttraumaticStressDisorderishighlysuggestiveofrecenttrauma.GivenhisdiagnosisofapersonalitydisorderwithdependentfeaturesandtheinterpersonaldynamicsascribedtoChineseculturalnorms,itisunderstandablethatMr.Tong'sbehaviorsasallegedlydemandedbyMr.PingJiangfunctionedasanattempttomaintainhisinterpersonaltiewithMr.JiangandtosucceedasafinancialtraderatSACCapitalManagement.Further,itismyopinionthatduetohiscurrentpsychiatriccondition,Mr.Tong'soccupationalandsocialfunctioningissignificantlyimpaired.SOURCESOFINFORMATION•PsychiatricInterviewofMr.Tongon10/26/06,10/27/06,11/02/06,and11/30/06atmyofficelocationforapproximately7.0hours.

ForensicAssessmentTong,~drew

•

PsychiatriclntervievvvvithMr.Tong"svvifeLing

Z.h

laang.•.on10/3

1/06

approximately1.0hour.

ReviewofMedicalRecordsfromNewYorkPresbyterianHospital-NewYorkWeillCornellCenter.-oEmergencyRoomRecordsoLaboratoryValuesandRadiologyReportsoHospitalAdmissionSummaryandDischargeSummaryoOutpatientTreatmentProgressNotesthroughOctober2006ReviewofPsychologicalTestingReportbyJenniferRosner,Ph.D.,datedNovember15,2006.PhoneInterviewwithPradeepAtluri,M.D.,Ph.D,on

11129/06

for1.0hour.

CONFIDENTIALITY

Mr.TongwasinformedthatthepurPoseofthisinterviewwastoprovideanindependentpsychiatricevaluationtotheattorney'sofficeofMr.ParisisG.Filippatos,PLLC.Mr.Tongindicatedanunderstandingthatinformationaboutourmeetingwouldbeprovidedtohisattorneyandwasthereforenotconfidential.

DATAFORENSICINTERVIEWOFMR.ANDREWTONGHistoryofPresentIllness

Duringtheinterview,Mr.TongdescribedtheeventsthatledtohisworkinNewYorkCityasafinancialtraderatSACCapitalManagement(SAC).Hereportedthatfrom1992to1994,heenjoyedworkingandstudyingwhileattendingthePh.D.programforcomputerscienceatColumbiaUniversity.However,in1994,hismotherinChinabecameillduetocomplicationsfromDiabetes.Asaresult,hetookaleaveofabsencefromschoolandtookajobatBearSteamstohelpfinanciallysupporthisparents.Atthattime,hehadearnedhisMastersinComputerScience.AtBearSteams,heearnedapproximately$60,000peryearandenjoyedworkingin"proprietarytradinginequitiesandoptions.".In1995,BearSteams~asupa?letosponsor~isworkvisa/greencard.HethenchangedJobsandworkedforFUJIBatik

NewYorkCItyfrom1995to1997.WhileatFujiBank,Mr.Tongworkedinfinancialriskmanagementresearching"quantitativemodelsforpricingandtradingstrategies."HealsogavepresentationsinVirginia,NewYork,andCanadainartificialintelligencerelatingtohisgraduateschoolworkincomputerscience.In1997,whileatFujiBank,hedescribeddissatisfactionwithanimmigrationlawyer'sinabilitytohelphimobtainavisatoremainintheUnitedStates.Hechangedimmigrationlawyersandin1997,startedworkinfinancialresearchforLehmanBrothers,acompanythatsupportedhisgreencardapplication.Hedescribeditasthe"bestjobbecauseIdidverywellandwaspromotedtoVicePresidentin1.5years."WhileatLehmanBrothers,hemetMr.PingJiang,afinancialtrader.AccordingtoMr.Tong,Mr.Jianghadspecificallyapproachedhimregardingquestionsaboutfinancialresearch,"probablybecausetherewereonlyafew

ForensicAssessmentTong,Andrew

ChinesepeopleinquantitativeresearchatL~hrn.an

h__TongdM

ft...

roters.From

1998

2000

N1ranr..Iang

e~talked,,;hllew?rkmglatenightsandweekends.

Mr.

Jia~g-encouragedhImtowork10finanCIaltrad10gratherthaninresearch.Mr.TongsaidMr.Jianghadtoldhimhewantedtohirehimintohisgroup.However,Mr.JiangwasunhappyatLehmanBrothersatthetimeandthoughtofleavingtostarthisownfund.OnMr.Jiang'sadvice,Mr.Tongdecidedtosearchforjobsinfinancialtradingtoobtainmoreexperience.HediscoveredajobopeninginMilwaukee,Wisconsin,whichMr.Jiangadvisedhimtotake.In2001,Mr.TongacceptedthejobinWisconsin.Hisgirlmendwholaterbecamehiswife,Ms.LingJiaZhang,objectedtotheidea.HowevershelateragreedafterMr.TongexplainedtakingthejobwasontheadviceofMr.Jiangwhowasagreatfinancialsuccess.Mr.Tongthenspentfouryears(2001to2005)inWisconsinworkingasafinancialtraderatStarkInvestmentsearningapproximately$250,000peryear.Whilethere,hewrotetradingstrategiesandperformedwell.Hespentmosttimeworking,buteveryonetotwomonthsenjoyedvisitingwithhisgirlmendwhoremainedinNewYorkCity.WhileheworkedinWisconsin,Mr.TongandMs.ZhangbecameengagedandeventuallymarriedinaceremonyinWisconsin.In2003,Mr.Tongcontinuedtosucceedatworkimplementingoneofhistradingstrategieswiththesupervisingguidanceofapartner.Thestrategyreportedlyearnedthecompanyapproximately$10millionin2004.WhileinWisconsin,Mr.TongcommunicatedbyphonewithMr.JiangwporeportedcontinuedsuccessatLehmanBrothersinNewYorkCity.In2005,Mr.JiangtoldhimhehadleftLehmanBrotherstoworkforSACCapitalManagement.Mr.JiangreportedlywantedtohirehimtoworkunderhimandofferedMr.TongajobatSACwitha$250,000annualsalarywithaguaranteedbonus.FacedwiththeopportunitytoreturntoNewYorkCityandtobewithhiswife,Mr.Tongacceptedtheoffer.InJuly2006,Mr.Tongreportedhavingalong2to3hourtalkwithMr.JianginCentralPark.AccordingtoMr.Tong,duringthattalkMr.Jiangproposedatrainingprogramtohelphimbecomeabettertradertoovercomehiscertain"personalityweaknesses."Mr.JiangreportedlyassertedthatMr.Tongwas"toomasculineandaggressivewhichwasnotgoodfortradingandthatitwasbesttocombinequalitiesofbothmenandwomen."Mr.Tongwastoldhewas"dedicated,buttooaggressiveandnothumbleenoughbythemarket."Mr.Tongsaid,"PingwantedtotrainmeandsaidhecouldhelptraintradersandchangepersonalitiestooptimizeworkbetterthanthepsychiatristatSAC.Iwasnotsurehowtoverifythis,butitturnsoutnottobetrue.IguessIjustbelievedhim."Asaresult,Mr.Jiangproposedatrainingplanthatdemandedrequestssuchasacquiringmorefeminineattributesbywearingfemaleclothes,doing"everythingyourself,"being"extremelyopen"bydivulgingeverythingtoMr.Jiang,andlivingnearthecompanytosavetime.AccordingtoMr.Tong,Mr.Jiangsaidtherewouldbenojobofferifheresisted,thetrainingprogram.WantingtoworkatSAC,Mr.TongagreedandstartedworkthereinAugust2006.InSeptember2006,Mr.Tongandhiswifemovedintoanapartmenton

56th

Streetand

2nd

AvenueasrecommendedbyMr.Jiang.Hiswifedidnotunderstandwhytheyhadtoliveinsuchanexpensiveapartmentinthatpartoftown.HetoldheritwaspartofMr.Jiang'strainingprogram.Shereluctantlyagreed.Afterstartingwork,Mr.Tongwasuncomfortablewiththe"trainingprogram,"butthoughtitwouldonlybetemporary.Mr.Tongsaid,"Weagreedthatthetrain.ingwouldendwhenmypersonalitywascorrected,orwhenImademyfirst