Securities Mediation

Representing Investors Nationwide

Securities mediation is a non-binding option in which claims and disputes are heard in an attempt to resolve a case in a relatively amicable manner. In many cases, disputes can be resolved in mediation, without incurring the time, effort, and expense of a binding arbitration or a lawsuit.

Securities mediation requires that both parties meet to discuss their dispute with a trained FINRA (formerly NASD) mediator and try to reach a voluntary resolution that is acceptable to both parties. Even in many cases in which the mediation doesn’t result in a solution, the mediation process can be useful as preparation or an initial negotiation step before binding resolution or a court case.

During securities mediation, the complaining party and the respondent will meet face to face, along with their trained mediator, to discuss the details and desired outcomes of their dispute. During this process, the mediator may move the discussion along with his or her own suggestions and help the parties establish their priorities and acceptable levels of compromise. In some cases, the mediator may meet with the parties individually to discuss details of the case and may even deliver messages between parties during these private meetings.

In most cases, the mediation process can reach an acceptable dispute resolution in a single day of negotiations. The possibility of quick resolution, along with the relatively low cost, make mediation an excellent, and frequently relatively painless first step in trying to resolve a dispute.

While mediation is generally considered a less extreme option than either binding arbitration or a traditional court case, the process can be a remarkably effective way of reaching a relatively amicable agreement, and avoiding the time and expense of the more extreme options.

To learn more about mediation and other recourse available to you as a private investor, please contact our securities mediation attorneys today to speak with an experienced securities fraud mediation attorney. The initial consultation is free, and your securities fraud attorney can help you navigate the mediation process with confidence.