|
Securities Arbitration and Mediation
Collectively, we have successfully handled many hundreds of arbitration on behalf of our clients. These cases have involved numerous issues, including general allegations of securities fraud and investment losses, the unauthorized use of margin; trading away; improper sales practices (churning, unsuitability, misrepresentation, unauthorized transactions); failure to adequately supervise; and the use of allegedly misleading research reports. We regularly appear in each of the major arbitration forums, including FINRA and the AAA. In recent years, mediation has become an appealing alternative for many of our clients. Success in mediation requires different skills than litigation: the ability to identify cases in which mediation may advance a client’s interests; selection of mediators who can effectively communicate our client’s position; and the use of a different type of advocacy in mediation. Our lawyers are well-versed in these skills and have successfully mediated matters across the United States. As part of our innovative approach to dispute resolution we have, where circumstances warrant, combined mediation programs with our representation of clients in the regulatory arena, and thus settled both customer claims and regulatory actions relating to the same underlying conduct simultaneously.
|
