Alan Weberman 345 East 94th Street 28C NYC 10128

Joel Peterson Departmental Disciplinary Committee Supreme Court, Appellate Division First Judicial Department 61 Broadway New York, New York 10006 Re: Matter of Gusrae, Kaplan & Bruno Docket No. 2013,1950 DOCUMENTS AND POINTS OF DISAGREEMENT The first document I wish to submit is Mr. Kaplan’s response to my complaint. EXHIBIT ONE Martin Kaplan writes that my complaint ―was filed in an attempt to gain advantage in a civil litigation.‖ I am involved in civil litigation with Gusrae Kaplan. But that has no bearing on the evidence that I present and the total lack of evidence the law firm has presented. Kaplan continues, Among the false statements made on this website is the same claim made here – that one of our founding partners, Bert L. Gusrae, was not a Chief Attorney at the SEC. Note the absence of the words ENFORCEMENT DIVISION. Martin Kaplan claims Gusrae was Chief of the Enforcement Division; not just any division. For all I know he may have become a Chief Attorney at Trading and Markets Division but not at the ENFORCEMENT DIVISION as Gusrae and Kaplan claimed. Turning to the allegation of fraudulent advertising, Mr. Weberman's claim that our website reports that "Bert Lee Gustae was Chief Enforcement Officer at the SEC's NYC Office" is simply and intentionally incorrect. Our website states that our securities litigation practice was "[e]stablished by a former Chief Attorney of the SEC's Division of Enforcement." This line is a direct reference to Bert L. Gusrae and is included only to acknowledge our founder. This firm's prominence in the securities litigation and regulatory

area over the past thirty five plus years is well-established. To our knowledge, the statement regarding Mr. Gusrae is accurate. Unfortunately, Mr. Gusrae passed away approximately two years ago and is not available to testify.

EXHIBIT 2 The first thing that made me suspicious was the ambiguity of the above claim. I looked at all the attorney’s resumes on the Gusrae Kaplan website and found no reference to anyone who held this position. Gusrae’s resume was not there. So I went on the Internet and found his resume and it was him. I never reported that the website stated who this was; in fact I reported just the opposite. Our website states that our securities litigation practice was "[e]stablished by a former Chief Attorney of the SEC's Division of Enforcement." This line is a direct reference to Bert L. Gusrae and is included only to acknowledge our founder…To our knowledge, the statement regarding Mr. Gusrae is accurate. This is just a matter of semantics. Six of one half a dozen of the other! Content analysis reveals something significant in the last sentence. Why preface the statement with TO OUR KNOWLEDGE? Because it gives Marty Kaplan a way out. Why not just ―The statement regarding Mr. Gusrae is accurate.‖

EXHIBIT 3 Bert Lee Gusrae passed the New York State bar exam in 1967. How could he have immediately become head of Enforcement at the SEC Regional Office in New York in 1967? This strains credulity. EXHIBIT 4 Kaplan submitted a plaque as evidence. What if this was a court of law and he tried to submit something of this nature? It would not be admitted as evidence. How do we know when it was created? Do we have to use carbon dating? If it is real it shows what a fraud the man was. He had this hanging in his office to con his clients. If his family provided it why couldn’t they provide something more substantial like an ID card or a document attesting to his service? Seal: Bert L. Gusrae Chief Attorney From His Friends N.Y.R.O. 1962 — 1967 The plaque is available for your inspection upon request. This is a piece of wood, not the Holy Grail. What good would it do to examine it? Also note the ambiguity, it does not say Chief of which division. EXHIBIT 5 The decisions affirmatively demonstrate that Mr. Gusrae was an attorney for the SEC in the New York Regional Office who tried and argued enforcement cases. They also indicate that Mr. Gusrae's status changed over the years to the point that he was lead counsel representing the Administrator of the New York Regional Office in or about 1966. Being an attorney who ―tried and argued enforcement cases‖ does not make him Chief of the Enforcement Division. Every case is an enforcement case as the laws of the SEC are enforced. Kaplan presented 5 court cases where Gusrae was involved. If Gusrae was Chief of Enforcement at the SEC NYC Regional Office for five years he would have been involved in many more cases. None of the documents he submitted name him as Chief of Enforcement New York City SEC Regional Office. Instead they say he was in the Division of Trading and Markets. I am not contesting whether or not he worked for the SEC, I am contesting if he was Chief of Enforcement New York City

SEC Regional Office. So I am submitting the documents that Mr. Kaplan provided as evidence since they support my contention. Note that the document regarding Kaman and Company names Kaplan as just another SEC attorney. EXHIBIT 6 If Gusrae had been named Chief of Enforcement NYC SEC RO then his appointment would have been announced in the New York Times. It was not. References to him end after the announcement that he passed the bar. His activities as Chief of Enforcement would have covered by the Times as this is a very important position. EXHIBIT 7 The real Chief of Enforcement during this period was Joseph C. Daley. This is the smoking gun. EXHIBIT 8 I attempted to get Gusrae’s employment records from the SEC but was unable to obtain them. I believe that I have proven with a preponderance of evidence that Burt Lee Gusrae was never Chief of Enforcement of the NYC SEC Regional Office and the Gusrae, Kaplan, Nusbaum is guilty of fraudulent advertising. You might think that Gusrae was just padding his resume. But this was not part of a job application. It was a criminal misrepresentation that Burt parleyed in a multi-million dollar boutique law firm. Nothing has happened in this matter since I filed the complaint. The website and its fraudulent claims remain the same. EXHIBIT 9 Printout of the allegations as they appear on the website http://gusraekaplan.org as of today. Signed Alan Jules Weberman Monday, October 07, 2013

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