What to Expect in Mediation

Investor Claims Is What We Do - All Day, Every Day

Since 1999 our law firm has recovered more than $350,000,000 for victims of investment fraud and misconduct.
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

What Can I Expect During the Mediation Proceedings?

Once you’ve hired an experienced investment fraud law firm to pursue your investment misconduct claim, your case will proceed through various stages of the legal process, beginning with the formal filing of your claims with the Financial Industry Regulatory Association (FINRA), and ultimately ending with a final arbitration hearing where the lawyers present their evidence and legal arguments on behalf of their clients to the arbitrators who will decide your case.

In many cases, at a point when the lawyers have obtained the documents and evidence necessary to build and present your case, they may consider whether your claims can be resolved, or settled, prior to the final arbitration hearing. In our law practice, we have found great success in resolving many of our clients’ claims through a process called “mediation.”

Mediation is a voluntary process that takes place on a parallel track with your pending FINRA arbitration case. In mediation, the parties agree to work with a professional third party mediator who is neutral. This means the mediator does not work for either the investor or the brokerage firm. Instead, the mediator’s job is to work with both sides in an effort to try to settle the case.

If done properly, mediation offers you a degree of control and predictability. At mediation, the parties are active participants and have real power in working towards an acceptable outcome. On the other hand, at the final hearing, all parties will be subjected to cross-examination, and the panel of three arbitrators will make a decision that is binding on all parties and impossible to predict.

Mediations typically take a full day and are held at a law office or a mutually agreed upon location. Sometimes mediations start with a joint session during which time the mediator explains the process and the parties may highlight some of the key arguments supporting their positions.

Following the joint session, the parties usually move to separate caucuses. The mediator will spend time separately with both sides talking about the strengths and weaknesses of their evidence and their legal positions. Throughout the day, the mediator will work between the parties and exchange messages—offers, counter offers, questions, demands, and proposals—between both sides to help the parties move closer to resolution. Importantly, all communications with the mediator are confidential, and the mediator may not share any information that they have learned from you with the other side without your permission.

The mediator has no authority to decide the settlement or even compel the parties to settle. Mediation is non-binding and completely voluntary. If the mediation is a success and the case settles, the final hearing is cancelled and the settlement is consummated within a few weeks. If the case does not settle, then the investor’s case proceeds to a final hearing with the arbitrators.

Mediation can be a very effective way for parties to resolve complex investor disputes. If you have questions about the mediation process, please give us a call today.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for Ten Years Running
  • David Meyer is President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members


Meyer Wilson has represented over 1,000 individual investors in high-stakes claims across the country, and has recovered over $350 million on their behalves. See what former clients have to say about our team.

  • “I primarily worked with Courtney Werning throughout the process and she was informative and knowledgeable. I trusted and fully recommend Courtney and her team.”

    - S.R.
  • “The communication throughout the process was on par - and they took the time to indulge me with the various questions and opinions.”

    - R.G.
  • “What I truly appreciated was getting a great result for my Mom with limited involvement/stress on her.”

    - S.W.
  • “We went to arbitration with the other respondent and I got to see firsthand the level of professionalism and expertise the Meyer Wilson firm can deliver.”

    - D.V.
  • “Chad would take the time to call and talk with me. His explanations were always clear and concise. I also appreciate all the effort put into the details and statistics required to argue this case.”

    - P.N.
  • “Meyer Wilson was able to produce the results that we felt were obvious and warranted while several other firms and even state offices simply had trouble understanding let alone moving the case forward.”

    - B.K.
  • “My overall experience was positive and I would encourage anyone who even thinks they have been a victim of stockbroker misconduct to call David.”

    - S.T.
  • “Meyer Wilson represented me in a suit brought last year against my brokerage firm, securing a very fair and equitable settlement for me.”

    - R.G., M.D.
  • “Right from the start, you had the passion and desire to win this case for us. I have never worked with an attorney or firm as compassionate as yours. I would highly recommend your firm to anyone.”

    - G.A.

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