On July 20, 2017 a
Appellate Materials
was filed
involving a dispute between
Ronnie Dorrity,
and
Terry James Dorrity,
for Commercial - Contract
in the District Court of Lewis County.
Preview
FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-000246
NO. EFCA2017-000246
AM
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
)
EFCAM MM6
. Netc beli $npcente 4enet
Appe(Infe Repnefinent
Rittision-fonef%
P
RONNIE DORRITY
Plaintiff Respondent
TERRY DORRITY
Defendant Appellant
DOCKET NO. 22-01083
INDEX NO. 2017EF 224 c...
RECORD ON APPEAL
VOLUME II
Woodruff Lee Carroll P.C.
Attorney for Terry Dorrity
" 334 Nottingham Road Syracuse, NY 13210
Phone: 315 474 5356
Fax: 315 474 5451
carrollcarroll@Carrolloffice.com
9 Stuart Finer
Attorney for Ronnie Dorrity
510 Bleeker Street
Utica, NY 13501
Phone 315 724 7800
stuart@stuartfineresq.com
g
"
"
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of 347
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FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-000246
NO. EFCA2017-000246
AM|
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
2
TABLE OF CONTENTS
STATEMENT UNDER 5531 1
TABLE OF CONTENTS 2
NOTICE OF APPEAL FROM ORDER
CONFIRMING ARBITRATION DECISION DATED 7/12/22 7
NOTICE OF ENTRY OF ORDER CONFIRMING
ARBITRATION AWARD DATED 7/12/22 13
e
ORDER CONFIRMING ARBITRATION DECISION DATED 6/27/22 19
NOTICE OF ENTRY ARBITRATION DECISION DATED 2/3/21 20
DECISION CONFIRMING ARBITRATION AWARD DATED 5/20/22 22
FINAL ARBITRATION DECISION DATED 9/7/2021 24
INTERMEDIATE DECISION OF THE ARBITRATOR DATED 1/25/21 27
w
ORDER APPOINTING ARBITRATOR DATED 11/15/2019 28
DECISION ORDERING ARBITRATION AND STAYING
THE SUMMAY JUDGMENT MOTION TO DISMISS FOR
STATUTE OF LIMITATIONS DATED 10/29/18 29
ORIGINAL COMPLAINT DATED 7/20/17 32
AMENDED ANSWER OF DEFENDANT
APPELLANT DATED 9/12/18 42
NOTICE OF MOTION FOR SUMMARY JUDGMENT
AND TO VACATE OR MODIFY THE ARBITRATION AWARD 48
ATTORNEY AFFIDAVIT OF WOODRUFF CARROLL
IN SUPPORT OF SUMMARY VACATING OR MODIFYING
THE AWARD, REMANDING THE ACTION AND IN
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INDEX NO. EFCA2017-
NO. EFCA2017-000246
00 0 2 4 6
FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM
AM)
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
3
OPPOSITION TO TOTHE MOTION TO CONF1RM DATED 12/9/21 49
EXHIBITS
CONTRACT BETWEEN PLAINTIFF AND DEFENDANT 54
ANSWER OF DEFENDANT APPELLANT 60
COMPLAINT OF PLAINT1FF RESPONDENT 65
ANSWER OF DEFENDANTS APPELLANT 75
TRANSCRIPT OF ARBITRATION HEARING 80
13-75 DIRECT TESTIMONY OF DEFENDANT
APPELLANT TERRY DORRITY BY THE PLAINTIFF 92
75-111 DIRECT EXAMINATION OF PLAINTIFF
RESPONDENT RONNIE DORRITY BY THE PLAINTIFF 154
111-166 CROSS-EXAMINATION OF
DEFENDANT RESPONDENT RONNIE
DORRITY BY THE DEFENDANT 190
166 REDIRECT TESTIMONY OF DEFENDANT
RESPONDENT RONNIE DORRITY BY THE
PLAINTIFF APPELLANT 245
168 RECROSS EXAMINATION OF PLAINTIFF
RESPONDENT RONNIE DORRITY BY THE
DEFENDANTAPPELLANT 247
169/170-176 DIRECT TESTIMONY OF JOHN DUVAL
PLAINTIFF EXPERT BY PLAINTIFF RESPONDENT 249
176 VOIR DIRE BY PLAINTIFF APPELLANT OF
DEFENDANT RESPONDENT'S EXPERT JOHN
DUVAL 255
178 DIRECT TESTIMONY OF JOHN DUVAL
PLAINTIFF RESPONDENT EXPERT BY
PLAINTIFF APPELLANT 257
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FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-
NO. 00 0 2 4 6
EFCA2017-000246
AM
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
a 4
196-258 CROSS EXAMINATION OF PLAINT1FF
RESPONDENT EXPERT JOHN DUVAL
BYDEFENDANTAPPELLANT 275
258-262 JUDGE QUESTIONS OF DEFENDANT
RESPONDENT DUVAL 337
268-275 DIRECT TESTIMONY OF DEFENDANTS
APPELLANTS EXPERT RICHARD WOLF BY
DEFENDANTAPPELLANT 347
275 -278 VOIR DIRE OF DEFENDANT APPELLANT'S
EXPERT JOHN WOLF BY PLAINTIFF RESPONDENT 354
278-340 DIRECT TESTIMONY OF DEFENDANTS
APPELLANTS EXPERT RICHARD WOLF BY
e DEFENDANT RESPONDENT 357
340-355 CROSS EXAMINATION OF DEFENDANTS
APPELLANTS EXPERT RICHARD WOLF BY
PLAINTIFF APPELLANT 419
e
355-362 REDIRECT TESTIMONY OF
DEFENDANT APPELLANTS EXPERT RICHARD WOLF
BYDEFENDANTAPPELLANT 434
362-421 DIRECT EXAMINATION OF
DEFENDANT APPELLANT TERRY DORRITY
BYDEFENDANTAPPELLANT 441
421-448 CROSS-EXAM OF DEFENDANT APPELLANT
e TERRY DORRITY BY PLAINTIFF RESPONDENT 500
449-452 REDIRECT OF DEFENDANT APPELLANT
TERRY DORRITY BY DEFENDANT APPELLANT 528
e 452-453 RECROSS OF DEFENDANT APPELLANT
TERRY DORRITY BY PLAINTIFF RESPONDENT 531
453-454 RE DIRECT OF DEFENDANT APPELLANT
TERRY DORRITY BY DEFENDANT RESPONDENT 532
454-455 RECROSS OF DEFENDANT APPELLANT TERRY
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INDEX
INDEX NO. EFCA2017-
NO. EFCA2017-000246
00 0 2 4 6
FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM
AM)
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
5
DORRITY BY PLAINTIFF RESPONDENT 533
REPLY AFFIDAVIT OF WOODRUFF CARROLL IN
OPPOSITION TO MOTION TO CONFIRM AND IN
SUPPORT OF THE DEFENDANTS APPELLANTS MOTION TO
VACATE OR MODIFY THE AWARD OR REMAND DATED 2/1/22 615
PETITION TO CONFIRM ARBITRATION AWARD
BY PLAINTIFF RESPONDENT 620
AFFIDAVIT OF PLAINTIFF RESPONDENT IN SUPPORT OF
CONFIRMATION AND ANSWER TO MOTION
TO CONFIRM AND IN OPPOSITION TO MOTION
TO VACATE, MODIFY OR REMAND THE AWARD 622
DATED 1/24/22
EXHIBIT AARBITRATION DETERMINATION 9/7/21 639
EXHIBIT B DECISION OF THE NATIONAL
FUTURES ASSOCIATION 643
REPLY AFFIDAVIT OF WOODRUFF CARROLL
IN OPPOSITION TO MOTION TO CONFIRM AND
IN SUPPORT OF THE DEFENDANTS APPELLANTS
MOTION TO VACATE OR MODIFY THE AWARD OR
REMAND DATED 2/1/22 647
DEFENDANT APPELLANTS MOTION FOR SUMMARY
JUDGMENT BASED ON STATUTE OF LIMITATIONS DATED 3/12/18 652
AFFIDAVIT OF WOODRUFF CARROLL COUNSEL TO
DEFENDANT APPELLANT 653
AFFIDAVIT OF TERRY DORRITY
DEFENDANT APPELLANT 656
COMPLAINT 663
ANSWER 674
NFA CODE OF ARBITRATION 681
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FILED:
FILED : LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-000246
NO. EFCA2017-000246
AM|
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED
RECEIVED NYSCEF: 11/28/2023
NYSCEF: 11/28/2023
8 6
ADVISORY AGREEMENT 716
INVESTMENTS AGREEMENT 725
ANSWER OF PLAINTIFF RESPONDENT IN OPPOSITION TO
MOTION FOR TO DISMISS THE ACTION DATED 9/1/18 815
ANSWER OF PLAINTIFF RESPONDENT
IN OPPOSITION TO MOTION FOR TO
DISMISSTHE ACTION AFFIDAVITOF
MATHEW FANELLI DATED MAY 17 2018 815
ANSWER OF PLAINTIFF RESPONDENT IN OPPOSITION
TO MOTION FOR TO DISMISS THE ACTION
DATED 5/17/2018 AFFIDAVIT OF RONNIE DORRITY
, PLAINTIFF APPELLANT 821
TRANSCRIPT OF HEARING TO
CONFIRM DATED 2/17/22 825
CERTIFICATION 837
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FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEx NO. EFCA2017-000246
NO. EFCA2017-000246
AM
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 EXHIB1T 5 TRANSCRIPT OF ARBITRATION HEARINCEIVED
RECEIVED NYSCEF:
NYSCEF: 11/28/2023
11/28/2023
MOTION FOR SUMMARY JUDGMENT VACATING MODIFY]NG 275
OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM
CASE9: EFCA2017-000246 12/09/2021 ATTORNEYS AFFIDAVIT Image: 228 of 568
py . . INDEX NO. EFCA2017-000246
NYSCEF DOC. No. 40 RECEIVED NYSCEF: 01/12/2022
'
0.523J887 8-24-2011,ArbitationHeming AssociatedReportesInti.,Inc
.
Page 196 ,
1 8-24-2021 - Arbitration Hearing
2 well-managed damage model, what should have, or could i
3 have been done with a fund similar to this. This .
4 fund in that period of time from 1%hruary 6, 507 to
5 December 30th, 2020, went up ninety-aight percent.
'
6 The S&P 500 went up two hundred and aighty-one
7 pezuent, so I'm not cherry picking, and I'm picking a
8 fund that I would feel very comfortable putting Terry
9 -- Ronald in today.
-- ;-
10 Q. If if you recall Ronald's
11 at some point he was -- he was in
testimony
12 MassMutual Fund?
13 A. Tas.
14 Q. Anything else to add?
15 At No.
16 MR. FINER: That's all I have at this
17 time.
18 THE ARBITRATOR: Mr. Carroll?
19 NR. CARROLLs It will take a second,
20 Your Honor. Your Honor, I'm changing batteries, just
21 taking a abort break.
22 THE ARBITRATOR: Okay.
23 (A recess was talten)
24 THE ARBITRATOR: Anything further, Mr.
25 Finer?
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FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-000246
NO. EFCA2017-000246
AM|
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 RECEIVED NYSCEF:
HEARIIgCEIVED NYSCEF: 11/28/2023
11/28/2023
EXHIBIT 5 TRANSCRIPT OF ARBITRATION
MOTION FOR SUMMARY JUDGMENT VACATINGMODIFYING 276
OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM
._.- -_..
CASE#t EFCA2017-000246 12/0 9/20 21 ATTORNEYS AFFIDAVIT Image: 229 of 568
5EWMEh W-MeTeTii3iñEK9WaliMF71:1"7VJsPENR3PJ:N% INDEX RO. ELCA2017-000246
NYSCEF Doc. N0. 40 RECBIVED NYSCEF: 01/12/2022
LS233887 8.24-2021,ArbitrationHeming AssociatedReportesInfL,Inc
Page 197
1 8-24-2021 - Arbitration Hearing
2 MR. FINER: No, sir.
3 THE ARBITRATOR: Mr. Carroll?
4 MR. CARROLL: Getting there. Hang on.
5 UNIDENTIFIEll SPEAKER: Your Honor,
6 that door is still alightly ajar. .
7 " '..THE ARBITRATOR: It doesn't
. matter,
8 there's nothing-else going on in the building, so.
9 UNIDENTIFIED SPEAKER: Okay.
10 THE ARBITRATOR: Okay. It used to be
11 my office next door.
12 UNIDENTIFIED SPEARER: All right.
'
13 MR. FINER: I was here more than a few
14 times.
15 THE ARBITRATORt Pardon?
16 HR. FINER: I was here more than a few
17 times was -- was in the exact same spot.
sitting
18 THE ARBITRATOR: Woody was here.
19 MR. CARROLL: I'm here.
20 THE ARBITRATOR: Talking about my past
21 job. That's just --.
22 MR. FINER: You were at the New York
23 State ...
24 MR. CARROLL: Yeah, yeah, that was an
25 interesting job. Still haven't fixed the damn thing
.
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FILED:
FILED: LEWIS
LEWIS COUNTY
COUNTY CLERK
CLERK 11/28/2023
11/28/2023 10:36
10:36 AM INDEX
INDEX NO. EFCA2017-000246
NO. EFCA2017-000246
AM
NYSCEF
NYSCEF DOC.
DOC. NO. 95
NO. 95 HEARINgCEIVED
RECEIVED NYSCEF:
NYSCEF: 11/28/2023
11/28/2023
EXH1BIT 5 TRANSCRIPT OF ARBITRATION
MOTION FOR SUMMARY JUDGMENT VACATING MODIFYING 277
OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM
CASE§: EFCA2017-000246 12 /09/20 21 ATTORNEYS AFFIDAVIT Image: 230 of 568
COUNTY CLERK 12/09/2021 INDEX NO. EEuA2017-000246
FILED: LEWIS 02:26 PM
NYSCEF DOC. NO. 40 RECEIVED NYSCEF: 01/12/2022
40.523.7887 8-24-2021,ArbitrationHeming AssociatedReporters Int'1.,Inc
Page 198
1 8-24-20215 - Arbitration Hearing
2 it's being caused by an old dam that's - they
3 hav©en't taken down. Nobody wants to put up a couple
4 of hundred thousand bucks to put a few aticks of
5 dynamite in the river.
THE ARBITRATOR: That is that issue --
6
7 that problem and then there's the Hinckley Reservoir
8 Trust if you want to get complicated.
9 MR. CARROLLr If you get involved in
10 any of these waterways it's a disaster. Our
11 ancestors darnmed up every single one for that canal,
12 one problem after another.
13 THE ARBITRATOR: I wrote an over
14 sixty-eight-page opinion, with the history of the
15 Hinckley Reservoir.
16 MR. CARROLL: Oh, my God,
17 THE ARBITRATOR: We were using
18 documents in that trial. We were using documents
19 from 2008.
20 MR. FINER: Is that when they flooded
21 it in the nine --?
THE ARBITRATOR: I'm --
22 sorry
23 MR. CARROLL: 1808,
, " I
THE ARBITRATOR: -- 1908,
24
25 MR. CARROLL: 19082
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Document Filed Date
November 28, 2023
Case Filing Date
July 20, 2017
Category
Commercial - Contract
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FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017-000246 NO. EFCA2017-000246 AM NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 ) EFCAM MM6 . Netc beli $npcente 4enet Appe(Infe Repnefinent Rittision-fonef% P RONNIE DORRITY Plaintiff Respondent TERRY DORRITY Defendant Appellant DOCKET NO. 22-01083 INDEX NO. 2017EF 224 c... RECORD ON APPEAL VOLUME II Woodruff Lee Carroll P.C. Attorney for Terry Dorrity " 334 Nottingham Road Syracuse, NY 13210 Phone: 315 474 5356 Fax: 315 474 5451 carrollcarroll@Carrolloffice.com 9 Stuart Finer Attorney for Ronnie Dorrity 510 Bleeker Street Utica, NY 13501 Phone 315 724 7800 stuart@stuartfineresq.com g " " 11 of of 347 346 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017-000246 NO. EFCA2017-000246 AM| NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 2 TABLE OF CONTENTS STATEMENT UNDER 5531 1 TABLE OF CONTENTS 2 NOTICE OF APPEAL FROM ORDER CONFIRMING ARBITRATION DECISION DATED 7/12/22 7 NOTICE OF ENTRY OF ORDER CONFIRMING ARBITRATION AWARD DATED 7/12/22 13 e ORDER CONFIRMING ARBITRATION DECISION DATED 6/27/22 19 NOTICE OF ENTRY ARBITRATION DECISION DATED 2/3/21 20 DECISION CONFIRMING ARBITRATION AWARD DATED 5/20/22 22 FINAL ARBITRATION DECISION DATED 9/7/2021 24 INTERMEDIATE DECISION OF THE ARBITRATOR DATED 1/25/21 27 w ORDER APPOINTING ARBITRATOR DATED 11/15/2019 28 DECISION ORDERING ARBITRATION AND STAYING THE SUMMAY JUDGMENT MOTION TO DISMISS FOR STATUTE OF LIMITATIONS DATED 10/29/18 29 ORIGINAL COMPLAINT DATED 7/20/17 32 AMENDED ANSWER OF DEFENDANT APPELLANT DATED 9/12/18 42 NOTICE OF MOTION FOR SUMMARY JUDGMENT AND TO VACATE OR MODIFY THE ARBITRATION AWARD 48 ATTORNEY AFFIDAVIT OF WOODRUFF CARROLL IN SUPPORT OF SUMMARY VACATING OR MODIFYING THE AWARD, REMANDING THE ACTION AND IN 2 of 2 of 347 346 INDEX INDEX NO. EFCA2017- NO. EFCA2017-000246 00 0 2 4 6 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM AM) NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 3 OPPOSITION TO TOTHE MOTION TO CONF1RM DATED 12/9/21 49 EXHIBITS CONTRACT BETWEEN PLAINTIFF AND DEFENDANT 54 ANSWER OF DEFENDANT APPELLANT 60 COMPLAINT OF PLAINT1FF RESPONDENT 65 ANSWER OF DEFENDANTS APPELLANT 75 TRANSCRIPT OF ARBITRATION HEARING 80 13-75 DIRECT TESTIMONY OF DEFENDANT APPELLANT TERRY DORRITY BY THE PLAINTIFF 92 75-111 DIRECT EXAMINATION OF PLAINTIFF RESPONDENT RONNIE DORRITY BY THE PLAINTIFF 154 111-166 CROSS-EXAMINATION OF DEFENDANT RESPONDENT RONNIE DORRITY BY THE DEFENDANT 190 166 REDIRECT TESTIMONY OF DEFENDANT RESPONDENT RONNIE DORRITY BY THE PLAINTIFF APPELLANT 245 168 RECROSS EXAMINATION OF PLAINTIFF RESPONDENT RONNIE DORRITY BY THE DEFENDANTAPPELLANT 247 169/170-176 DIRECT TESTIMONY OF JOHN DUVAL PLAINTIFF EXPERT BY PLAINTIFF RESPONDENT 249 176 VOIR DIRE BY PLAINTIFF APPELLANT OF DEFENDANT RESPONDENT'S EXPERT JOHN DUVAL 255 178 DIRECT TESTIMONY OF JOHN DUVAL PLAINTIFF RESPONDENT EXPERT BY PLAINTIFF APPELLANT 257 3 of 3 of 347 346 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017- NO. 00 0 2 4 6 EFCA2017-000246 AM NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 a 4 196-258 CROSS EXAMINATION OF PLAINT1FF RESPONDENT EXPERT JOHN DUVAL BYDEFENDANTAPPELLANT 275 258-262 JUDGE QUESTIONS OF DEFENDANT RESPONDENT DUVAL 337 268-275 DIRECT TESTIMONY OF DEFENDANTS APPELLANTS EXPERT RICHARD WOLF BY DEFENDANTAPPELLANT 347 275 -278 VOIR DIRE OF DEFENDANT APPELLANT'S EXPERT JOHN WOLF BY PLAINTIFF RESPONDENT 354 278-340 DIRECT TESTIMONY OF DEFENDANTS APPELLANTS EXPERT RICHARD WOLF BY e DEFENDANT RESPONDENT 357 340-355 CROSS EXAMINATION OF DEFENDANTS APPELLANTS EXPERT RICHARD WOLF BY PLAINTIFF APPELLANT 419 e 355-362 REDIRECT TESTIMONY OF DEFENDANT APPELLANTS EXPERT RICHARD WOLF BYDEFENDANTAPPELLANT 434 362-421 DIRECT EXAMINATION OF DEFENDANT APPELLANT TERRY DORRITY BYDEFENDANTAPPELLANT 441 421-448 CROSS-EXAM OF DEFENDANT APPELLANT e TERRY DORRITY BY PLAINTIFF RESPONDENT 500 449-452 REDIRECT OF DEFENDANT APPELLANT TERRY DORRITY BY DEFENDANT APPELLANT 528 e 452-453 RECROSS OF DEFENDANT APPELLANT TERRY DORRITY BY PLAINTIFF RESPONDENT 531 453-454 RE DIRECT OF DEFENDANT APPELLANT TERRY DORRITY BY DEFENDANT RESPONDENT 532 454-455 RECROSS OF DEFENDANT APPELLANT TERRY 44 of o f 346 347 INDEX INDEX NO. EFCA2017- NO. EFCA2017-000246 00 0 2 4 6 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM AM) NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 5 DORRITY BY PLAINTIFF RESPONDENT 533 REPLY AFFIDAVIT OF WOODRUFF CARROLL IN OPPOSITION TO MOTION TO CONFIRM AND IN SUPPORT OF THE DEFENDANTS APPELLANTS MOTION TO VACATE OR MODIFY THE AWARD OR REMAND DATED 2/1/22 615 PETITION TO CONFIRM ARBITRATION AWARD BY PLAINTIFF RESPONDENT 620 AFFIDAVIT OF PLAINTIFF RESPONDENT IN SUPPORT OF CONFIRMATION AND ANSWER TO MOTION TO CONFIRM AND IN OPPOSITION TO MOTION TO VACATE, MODIFY OR REMAND THE AWARD 622 DATED 1/24/22 EXHIBIT AARBITRATION DETERMINATION 9/7/21 639 EXHIBIT B DECISION OF THE NATIONAL FUTURES ASSOCIATION 643 REPLY AFFIDAVIT OF WOODRUFF CARROLL IN OPPOSITION TO MOTION TO CONFIRM AND IN SUPPORT OF THE DEFENDANTS APPELLANTS MOTION TO VACATE OR MODIFY THE AWARD OR REMAND DATED 2/1/22 647 DEFENDANT APPELLANTS MOTION FOR SUMMARY JUDGMENT BASED ON STATUTE OF LIMITATIONS DATED 3/12/18 652 AFFIDAVIT OF WOODRUFF CARROLL COUNSEL TO DEFENDANT APPELLANT 653 AFFIDAVIT OF TERRY DORRITY DEFENDANT APPELLANT 656 COMPLAINT 663 ANSWER 674 NFA CODE OF ARBITRATION 681 5 of 5 of 347 346 FILED: FILED : LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017-000246 NO. EFCA2017-000246 AM| NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED RECEIVED NYSCEF: 11/28/2023 NYSCEF: 11/28/2023 8 6 ADVISORY AGREEMENT 716 INVESTMENTS AGREEMENT 725 ANSWER OF PLAINTIFF RESPONDENT IN OPPOSITION TO MOTION FOR TO DISMISS THE ACTION DATED 9/1/18 815 ANSWER OF PLAINTIFF RESPONDENT IN OPPOSITION TO MOTION FOR TO DISMISSTHE ACTION AFFIDAVITOF MATHEW FANELLI DATED MAY 17 2018 815 ANSWER OF PLAINTIFF RESPONDENT IN OPPOSITION TO MOTION FOR TO DISMISS THE ACTION DATED 5/17/2018 AFFIDAVIT OF RONNIE DORRITY , PLAINTIFF APPELLANT 821 TRANSCRIPT OF HEARING TO CONFIRM DATED 2/17/22 825 CERTIFICATION 837 of 66 of 347 346 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEx NO. EFCA2017-000246 NO. EFCA2017-000246 AM NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 EXHIB1T 5 TRANSCRIPT OF ARBITRATION HEARINCEIVED RECEIVED NYSCEF: NYSCEF: 11/28/2023 11/28/2023 MOTION FOR SUMMARY JUDGMENT VACATING MODIFY]NG 275 OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM CASE9: EFCA2017-000246 12/09/2021 ATTORNEYS AFFIDAVIT Image: 228 of 568 py . . INDEX NO. EFCA2017-000246 NYSCEF DOC. No. 40 RECEIVED NYSCEF: 01/12/2022 ' 0.523J887 8-24-2011,ArbitationHeming AssociatedReportesInti.,Inc . Page 196 , 1 8-24-2021 - Arbitration Hearing 2 well-managed damage model, what should have, or could i 3 have been done with a fund similar to this. This . 4 fund in that period of time from 1%hruary 6, 507 to 5 December 30th, 2020, went up ninety-aight percent. ' 6 The S&P 500 went up two hundred and aighty-one 7 pezuent, so I'm not cherry picking, and I'm picking a 8 fund that I would feel very comfortable putting Terry 9 -- Ronald in today. -- ;- 10 Q. If if you recall Ronald's 11 at some point he was -- he was in testimony 12 MassMutual Fund? 13 A. Tas. 14 Q. Anything else to add? 15 At No. 16 MR. FINER: That's all I have at this 17 time. 18 THE ARBITRATOR: Mr. Carroll? 19 NR. CARROLLs It will take a second, 20 Your Honor. Your Honor, I'm changing batteries, just 21 taking a abort break. 22 THE ARBITRATOR: Okay. 23 (A recess was talten) 24 THE ARBITRATOR: Anything further, Mr. 25 Finer? ARH@comtsteno.com 231 % 228 of 568 7 of 7 of 347 346 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017-000246 NO. EFCA2017-000246 AM| NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 RECEIVED NYSCEF: HEARIIgCEIVED NYSCEF: 11/28/2023 11/28/2023 EXHIBIT 5 TRANSCRIPT OF ARBITRATION MOTION FOR SUMMARY JUDGMENT VACATINGMODIFYING 276 OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM ._.- -_.. CASE#t EFCA2017-000246 12/0 9/20 21 ATTORNEYS AFFIDAVIT Image: 229 of 568 5EWMEh W-MeTeTii3iñEK9WaliMF71:1"7VJsPENR3PJ:N% INDEX RO. ELCA2017-000246 NYSCEF Doc. N0. 40 RECBIVED NYSCEF: 01/12/2022 LS233887 8.24-2021,ArbitrationHeming AssociatedReportesInfL,Inc Page 197 1 8-24-2021 - Arbitration Hearing 2 MR. FINER: No, sir. 3 THE ARBITRATOR: Mr. Carroll? 4 MR. CARROLL: Getting there. Hang on. 5 UNIDENTIFIEll SPEAKER: Your Honor, 6 that door is still alightly ajar. . 7 " '..THE ARBITRATOR: It doesn't . matter, 8 there's nothing-else going on in the building, so. 9 UNIDENTIFIED SPEAKER: Okay. 10 THE ARBITRATOR: Okay. It used to be 11 my office next door. 12 UNIDENTIFIED SPEARER: All right. ' 13 MR. FINER: I was here more than a few 14 times. 15 THE ARBITRATORt Pardon? 16 HR. FINER: I was here more than a few 17 times was -- was in the exact same spot. sitting 18 THE ARBITRATOR: Woody was here. 19 MR. CARROLL: I'm here. 20 THE ARBITRATOR: Talking about my past 21 job. That's just --. 22 MR. FINER: You were at the New York 23 State ... 24 MR. CARROLL: Yeah, yeah, that was an 25 interesting job. Still haven't fixed the damn thing . aRH@courtsterru:om www.courtsteno.com 232 22 9 of 568 8 of 8 of 347 346 FILED: FILED: LEWIS LEWIS COUNTY COUNTY CLERK CLERK 11/28/2023 11/28/2023 10:36 10:36 AM INDEX INDEX NO. EFCA2017-000246 NO. EFCA2017-000246 AM NYSCEF NYSCEF DOC. DOC. NO. 95 NO. 95 HEARINgCEIVED RECEIVED NYSCEF: NYSCEF: 11/28/2023 11/28/2023 EXH1BIT 5 TRANSCRIPT OF ARBITRATION MOTION FOR SUMMARY JUDGMENT VACATING MODIFYING 277 OR REMANDING JUDGMENTAND IN OPPOSITION TO MOTION TO CONFIRM CASE§: EFCA2017-000246 12 /09/20 21 ATTORNEYS AFFIDAVIT Image: 230 of 568 COUNTY CLERK 12/09/2021 INDEX NO. EEuA2017-000246 FILED: LEWIS 02:26 PM NYSCEF DOC. NO. 40 RECEIVED NYSCEF: 01/12/2022 40.523.7887 8-24-2021,ArbitrationHeming AssociatedReporters Int'1.,Inc Page 198 1 8-24-20215 - Arbitration Hearing 2 it's being caused by an old dam that's - they 3 hav©en't taken down. Nobody wants to put up a couple 4 of hundred thousand bucks to put a few aticks of 5 dynamite in the river. THE ARBITRATOR: That is that issue -- 6 7 that problem and then there's the Hinckley Reservoir 8 Trust if you want to get complicated. 9 MR. CARROLLr If you get involved in 10 any of these waterways it's a disaster. Our 11 ancestors darnmed up every single one for that canal, 12 one problem after another. 13 THE ARBITRATOR: I wrote an over 14 sixty-eight-page opinion, with the history of the 15 Hinckley Reservoir. 16 MR. CARROLL: Oh, my God, 17 THE ARBITRATOR: We were using 18 documents in that trial. We were using documents 19 from 2008. 20 MR. FINER: Is that when they flooded 21 it in the nine --? THE ARBITRATOR: I'm -- 22 sorry 23 MR. CARROLL: 1808, , " I THE ARBITRATOR: -- 1908, 24 25 MR. CARROLL: 19082 ARH@courtsteno,com WWW-courtsteno.corn 233 230 of 568 of 99 of 347 346