Stockbroker 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

Attorney for Stockbroker Mediation

If you lost money due to broker misconduct or fraud, you may be wondering how you recover your losses. Do you need to go through a formal arbitration proceeding or is there a less formal way of resolving your broker misconduct case? There is an alternative to stockbroker arbitration and litigation in regards to settling a dispute with your broker. It is known as mediation. The Financial Industry Regulatory Authority (FINRA) handles over 1,000 cases in stockbroker mediation on an annual basis. According to FINRA, many of the cases that go through their mediation program settle within a few weeks to a few months after making a formal agreement to mediate.

Steps in the Stockbroker Mediation Process

The following will occur during the mediation process:

  1. The mediator is selected. When you choose mediation, both parties will agree upon a neutral third party to aid in the negotiations. This person will possess a thorough understanding of securities law. The mediator will not be deciding the outcome of the case. Instead, he or she will focus on guiding both parties to an acceptable solution.

  2. An opening session is held. This session involves both parties and the mediator. Each side will have the opportunity to explain background information, key facts, damages and liability.

  3. Separate meetings take place. The mediator will meet privately with each party following the opening session, which are referred to as caucuses. During these caucuses, the mediator will hear the critical issues pertaining to the dispute. These meetings are confidential and the purpose is to help the parties move closer to a settlement.

  4. Proposed resolution is made. During the mediation process, both sides have the chance to brainstorm solutions that would be acceptable to each party. If the parties agree to a solution, the dispute is resolved and a settlement agreement is signed.

Mediation is voluntary. If you are not satisfied with the outcome of the negotiations, you do not need to sign the settlement agreement. You can proceed to arbitration. Often, the most effective time to mediate a claim is once the formal arbitration claim is pending with FINRA and the parties have completed all the fact-finding and evidence gathering.

The Many Benefits of Stockbroker Mediation

If you have a complaint against your stockbroker or brokerage firm, stockbroker mediation may be the right answer for you. Mediation provides a chance to hash out your differences and potentially come to a settlement in your case, and you don’t give up your rights to pursue arbitration or litigation later on if it doesn’t work out. Mediation can have many benefits:

  • Saving time.
    Mediation usually moves quickly, and you may be able to settle some portions of your dispute even if you can’t agree on everything. This means that later arbitration can move more quickly—and you’ll have a better understanding of your case going into arbitration.

  • Saving money.
    Mediation may be a more cost-effective solution in many cases because the expenses are generally lower and you potentially stand to miss less time at work or in your personal life.

  • More control.
    Because the mediator has no power to decide the settlement, you have more control over the process and can directly address concerns with your broker or brokerage company.

  • More options for resolution.
    Because it is informal and voluntary, you may have the power to come up with more creative solutions for settlement than you would have access to in arbitration or litigation.

Coming to an Acceptable Resolution in Mediation

If an acceptable resolution has been reached, the following will occur:

  • A document, which includes all of the terms of the settlement, will be drafted. Parties can protect themselves by signing this document, also referred to as a memorandum of understanding of essential terms, at the end of the process if a settlement was reached.

  • A written settlement will be executed. Once all of the terms have been agreed to, a written settlement is be created and signed. A signed written settlement is final and binding.

Do I Need a Securities Mediation Attorney?

Even though mediation is considered to be less formal than other forms of dispute resolution, by no means should you attempt it alone. The brokerage firm will be relying on their group of sophisticated defense lawyers, even during the mediation process. It is therefore in your best interests to have an experienced securities mediation lawyer on your side, guiding you through the process. For more information or for a free case evaluation, contact Meyer Wilson by calling or filling out our online form. We have represented over 800 individual and institutional investors from across the country in securities mediation, arbitration, litigation, and class action lawsuits.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is the Immediate Past-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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