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Investor Mediations

From Jenice's interview for the Masters of the Courtroom series on
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Our New York investor mediation attorneys represent individual investors, hedge funds, institutions, foundations, business owners, professionals, and securities industry employees in FINRA securities and commercial matter mediations.

Mediation is another distinct way of resolving securities disputes. It is a voluntary process in which a mediator facilitates negotiations between disputing parties. Mediation offers an alternative to arbitration. Mediation can be faster and less expensive than arbitration or litigation. If the parties agree to mediate, they generally do not give up any right to arbitrate or litigate if they cannot reach a satisfactory settlement.

A trained, impartial mediator facilitates negotiations between disputing parties, helping them find a mutually acceptable resolution to the dispute. When parties are involved in an arbitration or litigation case, a request for mediation can be made at any point before the arbitrators issue an award. Additionally, sometimes a mediation can result from a judge referring a case for mediation.

Ms. Malecki is herself a trained mediator and has undergone extensive training about the process, helping her skillfully represent clients in mediation settings. Malecki law‘s team of New York investor mediation attorneys have successfully handled several FINRA, AAA, and JAMS mediation proceedings and have many ongoing at any given time.

FINRA Mediations

Since its inception in 1995, FINRA's Mediation Program has achieved an 80% success rate in over 17,500 cases which have been filed by several parties. To begin the mediation process with FINRA one or both parties may file a Request for Mediation. FINRA’s Dispute Resolution staff often contact the parties to determine their interest and seek their agreement to mediate.

Once agreed upon, the mediation process involves:

  • A mediator, agreed upon by both parties, who helps the parties find a mutually acceptable solution to the dispute. FINRA’s mediation administrators can assist in the selection of a mediator. The parties have full say in and must agree on who is selected as the mediator.
  • Parties agree upon when the mediation will occur and how the dispute will be resolved
  • All parties, their representatives and the mediator must sign a Mediation Submission Agreement that indicates the terms for the mediation. The agreement is designed to protect the parties involved and prevent any misunderstanding about the process.
  • FINRA's staff of mediation administrators assist with several aspects including enforcement of settlement agreements with brokers/broker-dealers
  • Mediation is a voluntary process and a Request for Mediation can be filed at any time, whether or not you have already filed an arbitration claim. No party is required to mediate a dispute.
AAA Mediations

The American Arbitration Association (AAA) promotes and offers mediation to parties for the amicable resolution of disputes and includes mediation procedures in all their major arbitration rules, either as an option or as a step prior to an arbitration hearing. Malecki Law’s investor mediation law firm in New York has done important cases at AAA. The AAA has seen significant increases in mediations after amending the Commercial Rules and adding Rule 9 in 2013. Rule 9 requires mandatory mediation for cases where a claim or counterclaim exceeds $75,000. Resultantly the AAA has witnessed a sharp increase in commercial mediations and in clients opting to mediate after initially filing for arbitration. Mediation is an important “step” in the arbitration process with the ultimate goal to potentially reach an early settlement and avoid a costly arbitration process. Some parties opt to conduct a mediation session while simultaneously keeping the arbitration process going.

JAMS Endispute

JAMS (Judicial Arbitration and Mediation Services) is one of the largest private alternative dispute resolution (ADR) providers in the world. JAMS consists of almost 300 prestigious panelists of neutrals and handles an average of 12,000 cases per year in hearing locations throughout the world. They mediate and arbitrate complex, multi-party, business, and commercial cases in over 28 centers. The cases they handle include antitrust, bankruptcy, class action, commercial, construction, and securities amongst others. JAMS is used by disputants frequently to settle cases out of court, saving time, fees, and money.

The Mediation Process

Mediations have the flexibility of being held in person, by telephone, or via video conference, provided all involved parties along with the mediator agree on the arrangements. The actual mediation is scheduled for an agreed-upon time and location and typically lasts a day. The parties involved may represent themselves or have an attorney represent them.

Prior to the start of the mediation, the mediator will ask for information pertinent to the case. He or she may want a history or summary of the dispute in question along with any available arbitration pleadings and additional documents that may prove helpful in painting the full picture.

The mediations may open with a joint session, meaning all parties will be present in that meeting, depending on the preference of the mediator. The mediator may use this meeting and go over the process, explaining how the mediation will go as well as reminding everyone of their duty to abide by confidentiality rules. The mediator may also request that the parties present their side to the opposing side along with the mediator. This also gives each party the opportunity for direct contact, not filtered through their lawyer, although their lawyer is present – certainly, Malecki Law’s investor mediation lawyers in New York will me right there with you until the last penny we can get is offered.

Throughout the process the mediator may elect to meet privately with one party at a time, depending on the needs of the parties as well as the type of case it is. After doing so, the mediator will likely discuss expectations regarding the settlement, candidly, with each party and help them see the respective strengths and weaknesses in their cases.

See article on FINRA Zoom arbitrations and mediations

Click here for Recent Significant Engagements in Investor Mediation

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I highly recommend Jenice and her team at Malecki Law. I had a challenging, and lengthly case. Jenice was professional, very knowledgeable, and a pleasure to work with. She managed to make the process far less stressful during a very difficult time. They care about their clients, and it definitely shows. Mario
Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues. Nathan A.
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To say that my securities litigation was complex would be a severe understatement. With multiple parties involved and spanning many years, trying to understand the issues was daunting to say the least. Jenice and her team broke down the transactions by segment and by party uncovering every hidden expense. In the end, I was more than happy and could not thank Jenice and her team enough. I would not hesitate to recommend Jenice to anyone. She is highly professional, incredibly knowledgeable, well connected to industry experts, has a tireless work ethic and is so pleasant and easy to communicate with. Five stars for sure! Andrew Loughrane