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What Is Mediation?

Mediation is an informal route to dispute resolution, which is typically faster and less expensive than litigation or arbitration. Through mediation, both parties have the common goal of reaching a settlement. One main difference from other forms of dispute resolution is that mediation is a voluntary negotiation process, facilitated by an impartial third-party mediator. Three typical arbitration forums for investors are the Financial Industry Regulatory Authority’s (“FINRA”) mediation program, American Arbitration Association’s (“AAA”) mediation program, and JAMS’ mediation forums.

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When Can I Request Mediation During a FINRA, AAA, or JAMS Case?

You may request mediation at any point during your arbitration case.

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Does FINRA Choose the Mediator?

No, the parties can work together in agreeing on a third-party mediator.

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What Is the Success Rate for Parties Who Decide to Mediate Through FINRA?

According to the FINRA website, the success rate in reaching a settlement is 80%, available at:

The AAA reported an 85% success rate in 2020.

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Where/How Is Mediation Generally Held?

In a pre-COVID world, mediations were typically held in conference rooms. However, now, there is flexibility in terms of in-person mediation and/or recreating the feeling of in-person mediation, through video applications, such as Zoom.

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Is Mediation Confidential?

Yes. Mediation, whether you settle or not, is completely confidential, and the details cannot be discussed with anyone outside of the mediation itself. Further, you cannot discuss your case if it does not settle.

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What Should I Expect From the Mediation Process?

Mediations typically are for one full day (for example, a mediation session may last from 10 a.m. until 5 p.m.). They will usually, but not always, begin with one joint session, including both parties, counsel, and the mediator. Counsel will introduce their clients (you), and the mediator will explain the mediation process as well as relevant confidentiality rules. Then, one party’s counsel will make a “demand” or their starting number. The rest of the day will essentially consist of negotiations between the claimant’s counsel and the respondent’s counsel.

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Will Respondent's Counsel Start out With a Very Low “Demand” Number?

This is very likely as it is their starting point. As the claimant investor, you cannot enter mediation with the expectation that the respondent will make a demand equivalent to or close to your actual losses. This is why both parties engage in negotiation throughout the day, with the goal to end with a number both sides agree to. It is said that in a successful mediation, both sides are a little unhappy; respondents are unhappy they paid as much as they did, and claimants always want more. Our clients, at Malecki Law, have been very successful in mediation and are happy with their results. It is always best to have experienced securities law counsel.

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Testimonials From Former Clients
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.
An excellent professional who represented us in trial regarding a bank fraud, an unexpected and difficult time. A professional that worked hard, persevering and who stood toe to toe against firms that had a team of excellent lawyers backing them up. Her unflinching determination really stands out, it makes you feel you have someone who really cares about trying to recover what you lost from the people that wronged you. Salomon Levi
It is difficult to thank you in words when gratitude comes from the heart, so I will try to link feelings with writing. It is essential for us to mention your excellence as a professional, your aptitude on legal fields, and your unavoidable persistence. All of these virtues that elevate the profession you exercise in such an admirable way, go hand in hand with your sense of ethics, your human warmth and the transparency in your actions. To sum up, thank you for being a listening ear and for having the right word while transmitting information about the legal process. Having you as our representative during such an adverse situation was a privilege and enough reason for our eternal gratitude. Angeles Aparain
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