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Emily Altman, Emily Altman LLC

Los Angeles, CA | Securities Mediation

(212) 933-1163

 

Dr. Edward S. Fitch, Fitch Mediation

Stockton, CA | Securities Mediation

(916) 218-8181

 

Maurice L. Zilber, Office of Maurice L. Zilber

San Francisco, CA | Securities Mediation

(415) 713-1914

 

John S. Preston, John S. Preston Mediation

Walnut Creek, CA | Securities Mediation

(510) 763-9131

 

Gilda R. Turitz, Sideman & Bancroft LLP

Oakland, CA | Securities Mediation

(415) 392-1960

 
 

Tom LoSavio, Low, Ball & Lynch

Monterey, CA | Securities Mediation

(415) 981-6630

 

Dr. Edward S. Fitch, Fitch Mediation

Fairfield, CA | Securities Mediation

(916) 218-8181

 
 
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Securities Mediation

Securities Mediation

Securities mediation is an informal process where an independent party, the mediation attorney, assists people involved in a brokerage dispute to settle claims without arbitration or an expensive lawsuit. Mediation for securities-related disputes is overseen by the Financial Industry Regulatory Authority (FINRA).

The process is initiated when one party within the dispute requests a mediation attorney's assistance, and the other party agrees. A meeting between the two parties is held at the mediation attorney's office, where both sides present their case. The mediation attorney then guides each party toward a solution by asking thoughtful questions to clarify and focus the negotiations.

A session with a mediation attorney usually lasts one day, and the only out-of-pocket costs are filing fees payable to FINRA and payment to the mediation attorney for his/her time and expenses.

For more information about this topic, you are encouraged to read the articles within this category.

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