I have mediated and arbitrated Numerous claims for FINRA (Formerly NASD)
I served on the national panel of mediators in two important class action lawsuits involving employment law issues in the securities industry, Cremin, et al. vs. Merrill Lynch, Class Action Claims Resolution Process (administered by Northwestern University Law School; Martens, et al. vs. Smith Barney, Class Action Claims Resolution Process (administered by Duke University Law School). I addition, I served as an arbitrator on the panel that decided the first claim in the Smith Barney case. My experience with the securities industry has given me an in-depth understanding of its most important and unique relationships – between firms and their employees and customers and their brokers.