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Raymond C. Kerr, Raymond C. Kerr, PC

Houston, TX | Securities Mediation

(713) 783-3110

 

Jeff Kilgore, Kilgore Mediation Services

League City, TX | Securities Mediation

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(409) 939-6924

 
 

Stevan J. Bosses, ADR PRO, LLC

Dallas, TX | Securities Mediation

(914) 723-9060

 

Jeff Kilgore, Kilgore Mediation Services

Houston, TX | Securities Mediation

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(409) 939-6924

 
 
 
 
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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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