Mediation and Dispute Resolution Services

Andrew provides dispute resolution services, with emphasis on mediation of securities industry and investment-related disputes. His mediation practice is built on the insights and skills he has gained, and the relationships he has formed, handling hundreds of FINRA, NASD, NYSE and AAA arbitrations over nearly 20 years.

Here are highlights of what Andrew brings to the table as a mediator:

• He knows first-hand the investor-claimant’s perspective and reality. He has represented dozens of individual or corporate investors over the last 10 years.  Many of these matters settled through direct negotiation or mediation, but he tried a number of these cases to fully-contested six-figure and seven-figure awards.

• He knows first-hand the brokerage house perspective and reality. Since 2000, as in-house counsel and in private practice, he has defended and tried numerous arbitrations involving sales practice, employment, transition, promissory note, client debit, and operational claims. He has handled matters nationwide for wirehouses, regionals, bank-channel broker-dealers, independents, and registered investment advisors. 

• You will have Andrew’s undivided focus. He diligently focuses on each matter in which he is involved. He arrives fully prepared and stays as late as needed.

• Where constructive, Andrew candidly shares his evaluation of the merits, damage theories, the arbitrators, and the arbitration/litigation process. He is an “advocate" for the mediation process and believes that in many situations it is necessary to act as more than just a facilitator.

Andrew will travel wherever a mediation requires.