Investor Mediations

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 or sometimes a mediation can result when a judge refers 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 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. 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 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 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 can take place in person, telephonically, or by video conference; however, all parties and the mediator must agree with the arrangements. Mediations usually take one day, and are scheduled for a time and location mutually agreeable to the parties. During the mediation, all parties may be represented by an attorney or represent themselves.

Before the mediation begins, the mediator will request information related to the case. The mediator may ask for a summary or history of the dispute, arbitration pleadings (if available), or other documents that help tell the story of the dispute.

At the mediation, the mediator may begin with a joint session, which is a meeting where all parties are in attendance. During this meeting, the mediator may use this time to explain how the mediation process will proceed, remind parties of their duty of confidentiality in the mediation process, and ask the parties to present the issues in dispute to the mediator and the opposing side. It also gives each party the opportunity for direct contact, not filtered through their lawyer, although their lawyer is present.

As the mediation process continues, and depending on the type of case and parties' needs, the mediator may use separate caucuses, which are private meetings with one party at a time. The mediator and the party will candidly discuss settlement expectations, and the mediator can help parties see the strengths and weaknesses of the case.

Recent Significant Engagements in Investor Mediation
  • Recovered over $7.2 Million in settlements for groups of victims of a real estate based Ponzi scheme in complex mediations with several brokerage firms, after a FINRA arbitration filing

  • Secured a $2 Million settlement in municipal securities industry compensation & sexual harassment claim through JAMS mediation

  • Represented lottery winners in a FINRA arbitration and a private mediation with a major financial institution

  • Recovered $2 Million in settlement for a group of high net worth hedge fund investors during a FINRA arbitration that concluded as the result of a successful private mediation

Attorney Advertisement. Prior results do not guarantee a similar outcome.

Client Reviews
Jenice Malecki is a highly successful securities law attorney. She is a brilliant strategist. She is a well respected litigator who knows how to win in court. As a former CEO and President of a public company traded on the NASDAQ (and currently a College President), I can attest, as a client, that Jenice Malecki's understanding of the law along with her business acumen and intellectual gravitas resulted in a 100% victory in my case before the Supreme Court of New York State. Jenice is a passionate and determined lawyer -- I want her in my corner -- anytime!​ Dr. John J. McGrath
I worked with Jenice and her team to successfully resolve a brokerage / securities related issue for an elder relative and was quite pleased with how they walked us through the process and took into account the challenges that age sometimes unfortunately present. They were all professional - and effective. I would use them again without question if the need arose. Bart
I have NO hesitation in recommending Jenice Malecki. She made a horrible situation bearable and performed above and beyond our expectations. April Voorhis
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