Neutral Services for Dispute Resolution

Arbitration

More than 20 years of confidential legally binding commercial arbitration experience in adjudicating disputes between private parties. Case experience includes ruling on the enforceability of contracts; interpreting securities regulations in litigation involving financial advisors, customers, broker dealers, and registered investment advisors; allegations of wrongful employment terminations, Lemon Law violations; poor workmanship in construction; and contests over questions of law concerning conveyances and ownership interests in real property.

Conciliation

Evaluating the strengths and weaknesses of each party’s case and conducting mock trials to facilitate mutual agreement to resolve the dispute.

Mediation

Acting as a neutral to assist parties in discussing their dispute and exploring a variety of solutions. 

Representative Case Experience

In multiple industries, arbitration of contract-related matters, such as:

  • Breach of Contract
  • Fraud
  • Misrepresentations
  • Noncompliance with Warranties
  • Auto Manufacturing Defects
  • Unlawful Retail Installment Contracts
  • Debt Collection
  • Financing Instruments
  • Telecommunications Agreements
  • Construction and Employment Contracts
  • Commercial Liability Insurance Coverage and Exclusions
  • Annuities
  • Business Asset Sales Agreements
  • Software Design
  • Short-Term Housing
  • Online Commerce
  • Cryptocurrency
  • Various Consumer Protection Statutes

Handling binding arbitration of securities-related disputes and allegations of SEC regulation violations on behalf of either FINRA’s Dispute Resolution division or the American Arbitration Association.

Representative Cases include:

  • Claims by customers concerning losses in their financial investment portfolios alleging inter alia unsuitability, fraud, misrepresentation, churning, breach of contract, violation of state consumer protection statutes, and improper management of margin and options accounts.
  • Disputes between and/or among financial advisors, registered representatives, broker-dealers, and registered financial investment advisors.
  • Evaluating petitions for expungements of certain information contained in FINRA’s Central Records Depository; and making recommendations to federal courts for approval of petitions found to meet the standard for protecting the public.

The alternative dispute resolution services also cover employment-related cases, such as:

  • Wrongful Terminations
  • Violations of State or Federal Employment Discrimination and Protection Statutes
    • Wage/Hour
    • Family and Medical Leave Act (FMLA)
    • Sexual Harassment
    • Americans with Disabilities Act (ADA)
  • Application of State Unfair and Deceptive Trade Practice Statutes
  • Interpretation of Provisions in Personnel Manuals
  • Board Disputes with Corporate Executives
  • Enforceability of Noncompete, Non-Solicit, and Trade Secret Contract Provisions
  • Theft of Corporate Opportunity
  • Medical Practice Disputes among Partners and Employees

Extensive experience determining the enforceability of documents conveying interests in real property, including commercial leases, deeds, easements, land boundaries, land use covenants and restrictions, zoning ordinances, master condominium declarations and bylaws, condo board powers, real estate listing agreements, and brokerage commissions.

Adjudicating disputes between general contractors, property owners, subcontractors, architects, engineers, and insurers. These cases concern American Institute of Architects (AIA) contract provisions, mechanics liens, workmanship, warranties, and other construction-related matters.