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Profile
Roger M. Moak
Personal Information
  • Address:
    930 Fifth Avenue
    New York, NEW YORK 10021 United States
  • Phone:
    212-472-4847
  • Cell:
    646-285-7272
  • Fax:
    212-472-4847
  • Email:
Current Employment
  • Company:
    Self-Employed Independent Umpire and Arbitrator
Credentials
  • Attorney:
    Yes
  • Education:
    College, law school, more than 30 years of practicing law, ARIAS conferences, workshops, etc., formal mediation training from: ABA Section on Dispute Resolution, Association of the Bar of the City of New York, New York State Bar Association
  • Degrees:
    Bachelor of Science, Cornell University; Juris Doctor, Georgetown University Law Center.
  • Designations:
    ARIAS-U.S.-Certified Arbitrator, ARIAS-U.S. Certified Umpire. Admitted to practice law in New York and in the District of Columbia and before the U.S. Supreme Court, the U.S. Courts of Appeal for the Second, Seventh, and D.C. Circuits, the U.S. District Courts for the Southern and Eastern Districts of New York and the District of Columbia, and the U.S. Tax Court. Appointed to eight three-year terms on the Committee on Insurance Law of the Association of the Bar of the City of New York, including one three-year term as Chairman; one term on Committee on Arbitration. Elected President of the Insurance Federation of New York, Inc. in 1998 and re-elected each year until 2005, when elected Chairman of the Board of Directors and re-elected each year until 2007. Member, ARIAS-US, American Bar Association (Section on Dispute Resolution, Section on Business Law, Section on Tort, Trial and Insurance Practice), District of Columbia Bar, Association of Corporate Counsel (Charter Member), Association of Professional Insurance Women. Martindale-Hubbell rating: AV.
  • Languages:
    English
  • Other Information:
    Ten years experience in an internationally renown litigation boutique law firm, followed by almost 20 years experience as an insurance industry general counsel--as well as many years of significant service in industry and professional organizations--have prepared me well to understand and to resolve both the procedural and substantive issues presented in insurance and reinsurance arbitrations. All 73 of my arbitrations (28 as umpire or single neutral) have involved reinsurance or insurance---no FINRA or consumer cases.
Work Experience
  • Insurance Company: 12 years.
    Executive Officer (CEO, COO, CFO, Chief Actuary): 12 years. Senior Vice President & General Counsel
  • Reinsurance Company: 12 years.
    Executive Officer (CEO, COO, CFO, Chief Actuary): 12 years. Senior Vice President & General Counsel (concurrent with Ins. Co.)
  • Law Firm (Insurance/Reinsurance Practice): 9 years.
    Partner: 3 years. Member & Treasurer
    Associate: 6 years. Associate
  • Insurance-related Firms: 19 years.
    Run-off Manager: 8 years. Executive Vice President & General Counsel (concurrent with The Home)
    Actuarial Firm: 11 years. ISO General Counsel
  • Independent/Other Relevant Experience: 10 years.
    Independent/Unaffiliated Arbitrator, Umpire and/or Mediator: 10 years. Arbitrator and Umpire
Breakdown of Experience
  • Contract Wording
    9%
  • Directors &, Officers
    9%
  • Workers' Compensation
    8%
  • Asbestos
    8%
  • Environmental/Pollution
    8%
  • Toxic Tort
    4%
  • Commutations
    3%
  • Third Party Administrator
    3%
  • Life
    3%
  • Insolvencies
    3%
  • Excess/Surplus Lines
    3%
  • Construction Defects
    3%
  • Fidelity &, Surety
    3%
  • Bad Faith/ECO
    3%
  • Commercial Property
    2%
  • Commercial Liability
    2%
  • Catastrophes (Property)
    2%
  • Professional Liability/Errors &, Omissions
    2%
  • Product Liability
    2%
  • Financial Guarantee
    2%
  • MGA/MGU
    2%
  • Alternative/Self-Insurance/Risk Management
    1%
  • Regulatory/Licensing
    1%
  • Product/Consumer Warranties
    1%
  • Personal Lines
    1%
  • Ocean Marine
    1%
  • Automobile Liability/Property
    1%
  • Libel/Slander/Media Liability
    1%
  • Energy
    1%
  • Aviation
    1%
  • Catastrophes (Casualty)
    1%
  • Disability
    1%
  • Healthcare
    1%
  • Finite
    1%
  • Intellectual Property
    1%
  • Employment Practices Liability
    1%
  • Captives/Risk Retention Groups
    1%
By Market
  • U.S. Market:
    80%
  • U.K. Market:
    15%
  • Bermuda/Off-shore Market:
    3%
  • European Market:
    1%
  • Global Market:
    1%

Insurance vs. Reinsurance: 65/35%
Treaty vs. Facultative Reinsurance: 85/15%

Mediation Experience
  • Number of Mediations
    As Mediator: 1
ARIAS Experience

Workshops, as Faculty: 2; September 2010, September 2012, September 2016

Workshops, as Trainee: 1; February 2004

Ethics Training, as Trainee: 1; March 2010

ARIAS Conference Faculty: 4; Spring 2005, Spring 2006, Spring 2007, Spring 2012

Other Approved Training:

March 2013 Educational Seminar - Faculty
November 2016 Educational Seminar - Faculty

Arbitration Experience

Number of Arbitrations

As an Arbitrator: 45

As an Umpire: 26

As Outside Counsel: 1

As Corporate Representative: 1

Arbitrator Experience
Number of Arbitrations
23
Appointed as an arbitrator.
4
Acted as an arbitrator through the organizational meeting or the arbitration has only reached this stage.
7
Acted as an arbitrator through the organizational meeting or the arbitration has only reached this stage and the resolution of significant pre-hearing motions.
1
Acted as an arbitrator through an evidentiary hearing of at least three full days regarding the substantive merits of the parties' dispute.
2
Acted as an arbitrator through to final award after completion of an evidentiary hearing of at least one full day and less than three full days regarding the substantive merits of the parties' dispute.
8
Acted as an arbitrator through to final award after completion of an evidentiary hearing of at least three full days regarding the substantive merits of the parties' dispute.
Umpire Experience
Number of Arbitrations
4
Appointed as an umpire.
4
Acted as an umpire through the organizational meeting or the arbitration has only reached this stage.
7
Acted as an umpire through the organizational meeting or the arbitration has only reached this stage and the resolution of significant pre-hearing motions.
1
Acted as an umpire through an evidentiary hearing of at least one full day and less than three full days regarding the substantive merits of the parties' dispute.
7
Acted as an umpire through to final award after completion of an evidentiary hearing of at least one full day and less than three full days regarding the substantive merits of the parties' dispute.
3
Acted as an umpire through to final award after completion of an evidentiary hearing of at least three full days regarding the substantive merits of the parties' dispute.
Lead Counsel Experience
Number of Arbitrations
1
Acted as Lead Counsel through to final award after completion of an evidentiary hearing of at least one full day and less than three full days regarding the substantive merits of the parties' dispute.
Company Representative Experience
Number of Arbitrations
1
Company Representative in arbitration through evidentiary hearing of at least three full days regarding the substantive merits of the parties' dispute.
Biography

With over 30 years of experience as an attorney–almost 20 as an insurance industry general counsel–Roger Moak now offers his services to the industry as an arbitration umpire, party arbitrator, and mediator. Since starting this practice in 2004, he has had 73 arbitration appointments (28 as umpire or single neutral). Most have involved reinsurance claims; all the rest have involved other insurance issues. Mr. Moak is a graduate of Cornell University and Georgetown University Law Center. He began his legal career in 1970 as a law clerk with Speiser, Shumate, Geoghan, Krause, Rheingold & Madole in Washington, D. C. The Speiser firm was internationally renowned for its handling of the plaintiffs’ side of aviation disaster and other wrongful death cases. In the firm’s New York office, he handled a wide variety of litigation and corporate matters and became a member of Speiser and Krause, P. C. in 1978. He left the law firm in 1980 to head the Legal Department of Insurance Services Office (ISO). ISO is the property-casualty insurance industry’s largest supplier of statistical, actuarial, underwriting, and claims data, as well as standardized policy forms and manuals. He was SVP and GC of ISO through 1991. (ISO is now part of Verisk Analytics, a public company.) Mr. Moak became Senior Vice President, General Counsel and Corporate Secretary of The Home Insurance Companies, including U.S. International Reinsurance Company (collectively The Home), after they were acquired by Trygg-Hansa in 1991. The Home was one of the largest commercial property-casualty insurance writers in America. While still serving as its general counsel, he served for a year as The Home’s chief corporate claims officer. He remained general counsel of The Home when he became EVP and General Counsel of Risk Enterprise Management Limited (REM) (now part of Tristar but then a member of Zurich Financial Services), following the Trygg-Hansa/Zurich transaction of 1995, where he concentrated on the unprecedented and successful eight-year voluntary run-off of The Home under regulatory supervision and on developing REM into a successful TPA.