Teresa J. Verges joined the University of Miami School of Law faculty in the fall of 2011. She is the founding director of Miami Law’s Investor Rights Clinic, which represents investors who have claims against their brokers in arbitration proceedings before FINRA, but whose claims are too small for them to be able to find legal representation. Professor Verges supervises the clinic’s student interns and teaches a seminar on the substantive law of securities arbitration, professional responsibility and practical skills allowing the students to undertake all aspects of client representation. She also teaches a separate course on broker-dealer regulation.
Prior to joining the School of Law’s faculty, Professor Verges served as Assistant Director of Enforcement for the Securities and Exchange Commission at the Miami Regional Office, where she led investigations of potential violations of the federal securities laws, including cases involving financial fraud, pay-to-play and municipal securities offerings, market manipulation, insider trading, offering fraud, violations by broker-dealers and investment advisers, and violations of the Foreign Corrupt Practices Act. Before her appointment as Assistant Director, Professor Verges served as Regional Trial Counsel, where she supervised litigation of civil injunctive actions and administrative proceedings instituted by the SEC’s Miami Office.
While at the Commission, Professor Verges led the investigative or litigation teams on some of the most significant cases brought by the SEC, and received awards and recognition for her work, including the SEC’s 2011 Arthur F. Matthews Award. Ms. Verges has been recognized as one of “The Top Government Attorneys” in South Florida Business Guide, 2004-2009 is a 2009 Recipient of noted “Florida Legal Elite Government Attorney” in Florida Trend. Ms. Verges was also selected for Women of Color Magazine’s 2010 Top Women in Finance.
Prior to joining the Commission in 1998, Ms. Verges was in private practice for 8 years in Chicago and Miami. Ms. Verges has an undergraduate degree from Elmhurst College (1985) and a law degree with highest honors from DePaul University College of Law, Chicago, Illinois (1989).
Ms. Verges has published articles and participated on panels discussing securities arbitration, SEC investigations and enforcement, regulation of financial intermediaries and ethical issues in securities litigation and arbitration. She served on FINRA’s National Arbitration and Mediation Committee (2014-2018) and FINRA’s Discovery Task Force (2018-2021).
Beverly Jo Slaughter is a Senior Managing Counsel in the Wealth Investment Management Litigation Section of the Wells Fargo Corporate Legal Department. Her team defends the company and its Financial Advisors in litigation before FINRA and various state and federal courts. The team also administers the Protocol for Broker Recruiting for Wells Fargo and advises on risk mitigation generally.
Ms. Slaughter obtained her J.D. from the Fordham University School of Law in 1997.
Ms. Slaughter regularly speaks on securities litigation and regulation and employee mobility before the NBA, the SIFMA Legal and Compliance Section and the Federal Bar Council.
Bruce Sanders has considerable experience in financial and investor protection law. After earning his law degree from the University of Michigan School of Law, he began his legal career with the Securities and Exchange Commission - Enforcement Division where he handled numerous financial and investor protection cases involving the misconduct of financial professionals, including stock brokers, investment advisors, and investment bankers, as well as publicly traded corporations. He later served as Regional Counsel for the predecessor to the Financial Industry Regulatory Authority (“FINRA”), continuing the important work of protecting investors and enforcing investor protection laws against financial professionals. Mr. Sanders also served as trial attorney in the Department of Justice- Bank and Securities Fraud Section, and was responsible for prosecuting some of the Department’s most important financial fraud cases.
Since entering private practice, Mr. Sanders has served as counsel to many investors, corporations, broker-dealers and others, including representing investors involved in disputes with some of Wall Street’s largest financial services firms. He has also represented many investors, including professional athletes in the NBA and NFL, involved in financial transactions. He served as counsel to the investment banking team that financed the construction of the Verizon Center in Washington, DC, home of the NBA’s Wizards and NHL’s Capitols. Mr. Sanders has represented many investors in FINRA sponsored securities arbitration matters which have resulted in substantial monetary recoveries of investor money from financial professionals and firms. He has also served as Chairman on many FINRA sponsored arbitration panels rendering final decisions in disputes between investors and FINRA member firms and brokers.
Mr. Sanders was delighted when Howard University School of Law hired him in 2010 to return to the law school, where he previously taught Securities Law, to develop and run a new Investor Justice & Education Clinical Law Program (the “IJEC”) initially funded by a generous grant from the FINRA Investor Education Foundation. Mr. Sanders developed the curriculum for the IJEC, teaches and trains the student attorneys, and supervises the many securities arbitration cases for the IJEC’s investor clients. The IJEC provides free legal services to underserved investors involved in disputes with their financial professionals and FINRA-DR arbitration proceedings. The IJEC also provides investor protection education programs for the investing community, including schools, colleges, universities, churches, senior citizen groups, scout troops, fraternities, sororities, and other organizations.
As a result of his considerable financial and investor protection experience, Mr. Sanders has been retained to provide expert legal and regulatory counsel on many financial market development projects in Asia, Africa, Eastern Europe, and the Caribbean. He has developed and run education and training programs for investors, financial professionals, and regulators from over fifty countries including the Republics of Ethiopia, Philippines, Lithuania, Moldova, India, Malaysia, Romania, as well as the Eastern Caribbean Securities Market based in St. Kitts & Nevis, West Indies.
Chris Lewis joined Edward Jones in 2007 as a principal and deputy general counsel in the Legal division. In 2015, he was named general counsel and is responsible for leading all associates who provide legal support to the firm.
A graduate of Columbia University School of Law as a Harlan Fiske Stone Scholar, Lewis is a member of the Securities Industry and Financial Markets Association (SIFMA) General Counsel Committee.
Lewis serves as a member of the board of directors of Big Brothers Big Sisters of Eastern Missouri, St. Louis Children’s Hospital Foundation, Missouri Botanical Garden and is a member of the Board of Trustees at Manhattanville College in Purchase, N.Y.
Darya Geetter is Managing Director, Head of US Securities Regulatory Affairs at UBS. In this role she is responsible for and leads teams handling regulatory inquiries, exams and enforcement actions for both the UBS Investment Bank and Wealth Management USA. She was formerly Deputy General Counsel at LPL Financial, MF Global Inc., and UBS Financial Services and a Managing Director at Bear, Stearns & Co. Inc. Earlier in her career she served as Counsel at Hogan & Hartson LLP and held several roles at the US Department of Justice, including Senior Trial Attorney in the Civil Rights Division and Civil Division, Assistant U.S. Attorney for the District of Columbia as a federal law clerk on the United States District Court for the ED LA.
Darya earned a J.D. from New York University School of Law and a BA with Honors from the University of Chicago. She has served on FINRA’s NAMC and several SIFMA Committees.
Experience: Over 46 years of experience. Alternate Dispute Resolution experience includes service as an arbitrator resolving cases that involve a broad range of business issues including business dissolution, consumer contracts, construction contracts, computer technology, insurance contracts, credit and loan agreements, employment contracts and disputes involving securities with an emphasis on claims against securities brokers and underwriters.
Member, Board of Managers, Charter Institute of Arbitrators, London, England. Member, State of New York Grievance Committee for the Ninth Judicial District. Former Chairman of the Grievance Committee for the Westchester County Bar Association. Adjunct Member of the Regents Review Committee, an administrative law appellate panel that primarily hears appeals from professional misconduct decisions by state boards for professional groups licensed and regulate by the New York State Department of Education.
Arbitration Panel Memberships: American Arbitration Association, Commercial Panel, FINRA, National Arbitration and Mediation, Panel of Arbitrators at the National Futures Exchange, United States Council for International Business (USCIB) of the International Chamber of Commerce (ICC); Kuala Lumpur Regional Centre for Arbitration, Kuala Lumpur, Malaysia. Member, International Panel, British Columbia International Commercial Centre, Vancouver, Canada
Professional Licenses: Admitted to the Bar, New York State, First Department, 1969; U.S. Court of Appeals, 2nd Circuit, 1970; U.S. District Court, Southern District for New York, 1978; U.S. Tax Court, 1980
Professional Associations: American Bar Association (Member, Dispute Resolution Section); New York State Bar Association (Member, Arbitration Committee); Westchester County Bar Association (Member Dispute Resolutions Committee, Grievance Committee). Fellow (FCIArb), Chartered Institute of Arbitrators, London, England (Chairman, Assessment & Examinations Board)
Education: Case Western Reserve University (BA-1966); New York Law School (JD1969). Academic Honors: Editor, New York Law School Law Review; Nathaniel L. Goldstein American Jurisprudence Award for Constitutional Law.
Adjunct Professor, New York Law School teaching Domestic Arbitration
Guest Lecturer, New School for Social Research, New York, New York;
CPR, International Institute for Conflict Prevention & Resolution New York Law School
Approved Faculty Member, Chartered Institute of Arbitrators, London, England
Faculty, American Arbitration Association University
Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA’s investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation’s grant making and programmatic efforts to educate and protect investors. Her work focuses especially on traditionally underinvested groups of Americans, including young adults, women, Native Americans and members of U.S. military. She joined FINRA in May 2006.
From February 2002 to April 2006, Ms. Walsh served as Deputy Director of the Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA). In that capacity, she managed the agency’s investor education program, oversaw the handling of investor complaints and questions, and advised senior agency staff on policy matters relating to investor protection. She previously worked for four years as the Special Counsel to the Director of OIEA and three years as a senior attorney in the SEC’s Division of Enforcement where she investigated and prosecuted violators of the federal securities laws. During her tenure at the SEC, Ms. Walsh received the 2004 SEC Law & Policy Award in connection with focus group initiatives for the agency’s proposed point of sale disclosure rules, the Department of Agriculture’s 2002 Honor Award of Excellence for participating on an inter-agency team that developed financial literacy programs, and the SEC’s 2001 Productivity Improvement Award as part of the team that overhauled and redesigned the agency’s Web site.
Prior to joining the SEC in 1994, Ms. Walsh was an associate with Hogan & Hartson, a Washington, D.C. law firm. She received her J.D. from N.Y.U. School of Law in 1989 and her B.A., magna cum laude, from Amherst College in 1985. She is a member of the New York and District of Columbia bars. She is on the Board of Gifts for the Homeless, Inc. (a non-profit, all-volunteer organization dedicated to clothing the homeless in the greater D.C. area) and she also serves as Vice President for New Clothing Purchases.
Marnie C. Lambert is a 1992 graduate of the Pepperdine University School of Law in Malibu, California. She has spent more than a decade representing investors across the country in securities disputes with their brokerage firms in both FINRA arbitrations and in court. She has been on the Board of Directors for the Public Investors Arbitration Bar Association (PIABA) since 2012 and she currently serves as President.
Ms. Lambert has a reputation for her no-nonsense approach to cases and she is well-respected by clients, co-counsel, opposing counsel, arbitrators and mediators alike. She is licensed to practice law in the states of Ohio and California and in all United States District Courts in Ohio and California.
Mike Alford is currently employed as Senior Vice President and Deputy General Counsel for Raymond James Financial, Inc., a diversified financial services holding company whose subsidiaries engage in securities brokerage, investment banking, asset management and banking services. In his current role, Mike manages the firm’s litigation and dispute resolution efforts across all business lines. His duties include selection and management of outside counsel relationships and supervision of an in house litigation team. In addition, the firm’s Seniors and At Risk Investor Task Force reports up to Mike. He joined Raymond James in August of 1994. During his tenure with the firm Mike has managed attorney teams responsible for Regulatory Enforcement, Equity Capital Markets, Fixed Income, Asset Management and Human Resources.
From 1989 through 1993, Mike was employed by PaineWebber, Inc. as in-house counsel. While at PaineWebber, he divided his time between securities litigation and employment disputes, including statutory discrimination claims. Prior to PaineWebber, Mike was a litigation associate with Holland & Knight in Miami, where his practice areas included general commercial litigation and labor law.
Mike attended the University of Florida, graduating with honors from the College of Law in 1986 where he served on the Editorial Board of the University of Florida Law Review. In addition, he is a member of the Florida Chapter of the Order of the Coif.
Mike is a member of the Board of Arbitrators and has served in that capacity with FINRA, the American Arbitration Association, and the National Futures Association. Professional memberships include The Florida Bar, the American Bar Association and SIFMA’s Complianc and Legal Society. Mike served two terms as a founding member of the NASD Florida Advisory Council on Arbitration and spent 15 years as a member of SIFMA’s National Arbitration and Litigation Committee. He currently holds a number of securities licenses, including the Series 7, 9, 10 and 24, and serves on the SIFMA-CL Executive Committee.
Professor Jill I. Gross is a nationally known expert in the field of securities dispute resolution, and teaches courses in the areas of dispute resolution, ethics, securities law and lawyering skills. She was the James D. Hopkins Professor of Law, a two-year rotating endowed Chair, from 2013-2015, Director of the Investor Rights Clinic from 1999-2015, and Director of Legal Skills Programs from 2010-2015. She also has taught at Cornell Law School, UNLV’s Boyd School of Law and Benjamin N. Cardozo School of Law.
She is an author of the preeminent hornbook, Broker-Dealer Law and Regulation (Wolters Kluwer 4th ed. annually updated) (with J. Fanto and N. Poser), has published dozens of book chapters and articles on the negotiation, mediation and arbitration of securities and other commercial disputes, and is a Senior Contributing Editor to the Securities Online Litigation Alert. She has chaired the AALS Section of Dispute Resolution, the Securities ADR Committee of the ABA Section of Dispute Resolution and the Practising Law Institute’s annual Securities Arbitration program. She is an arbitrator for the American Arbitration Association, FINRA’s Office of Dispute Resolution, and the National Futures Association, and a member of the Securities Experts Roundtable. She is a former public member of the FINRA National Arbitration and Mediation Committee, and a current member of the President’s Council of Cornell Women. She has been quoted dozens of times in the national media, and retained as an expert in securities arbitrations, litigations and enforcement proceedings.Before entering legal education, Professor Gross was an attorney in the New York City firms of Kaye Scholer LLP, Morvillo Abramowitz Grand Iason & Silberberg, and Parcher Hayes & Snyder, representing clients in white collar criminal and securities enforcement proceedings, securities arbitrations, and other commercial litigation. She received an A.B. magna cum laude, Phi Beta Kappa, from Cornell University and a J.D. cum laude from Harvard Law School.
Sandra Mullings is an Associate Professor of Law at the Zicklin School of Business, Baruch College, City University of New York. She has served as an arbitrator for FINRA and its predecessor since 1994.
Professor Mullings is a graduate of Yale Law School. Prior to joining the faculty at Baruch, she was a partner in a New York City law firm, doing general commercial litigation. She has several publications, primarily in the area of employment law.
Seth E. Lipner is a Professor of Law at the Zicklin School of Business of Bernard M. Baruch College (CUNY) in New York City, and a member of the firm Deutsch & Lipner in Garden City, New York.
Professor Lipner is the author of numerous scholarly articles and law books, including SECURITIES ARBITRATION DESK REFERENCE, co-authored with Professors Joe C. Long and William Jacobson, and published each year by West Publishing. As a member of Deutsch & Lipner, Mr. Lipner focuses his practice on representing investors and other individuals with grievances against providers of financial services.
Professor Lipner was a founder of PIABA when it was created in 1990. He served as President in 1994-1995, and again in 2000-200 l. He served as Secretary to the organization and on its Board of Directors since the organization's inception until 2006, and now holds the title "Director Emeritus." Professor Lipner has appeared on CNN, NPR, BBC and the Wall Street Journal Report, and is often quoted in publications such as Forbes, The New York Times, Reuters, Business Week, Newsweek, the Wall Street Journal, Newsday, the New York Law Journal and the National Law Journal.
Professor Lipner speaks often to bar groups, and in continuing legal education programs, including the New York State Bar Association, Practicing Law Institute and PIABA. He served on the National Arbitration and Mediation Committee of the NASO from 1998 to 2002, and was at one time a member of the Board of Editors at Securities Arbitration Commentator. He is now on the Editorial Board of the PIABA Bar Journal, and is a regular contributor to the Journal.
Along with Lisa Catalano, he is the author of"The Tort of Giving Negligent Investment Advice," 39 University of Memphis Law Review 663 (2009). His most recent law review article, "The Expungement of Customer Complaint CRD Information Following the Settlement of a FINRA Arbitration," is at 19 Fordham Journal of Corporate & Financial Law 57 (2013). Professor Lipner's
numerous columns and other writings can be found at DeutschLipner.com. and Forbes.com.
Tracey Salmon-Smith is a partner at Faegre Drinker Biddle & Reath LLP in the Business Litigation Department. She is a member of the Financial Services and Best Interest Compliance teams. Tracey represents broker-dealers before FINRA in arbitrations and mediations related to allegations of sales practice violations and failure to supervise claims. She also handles regulatory inquires, as well as discrimination, whistleblower claims, work-place harassment, wrongful discharge, U5 defamation matters, and expungement proceedings. Previously, Tracey served as in-house counsel at UBS Financial Services Inc. in the litigation group and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY). She graduated from Villanova University School of Law. She received her undergraduate degree in English from Dartmouth College.
Joe is the Chair of Reminger’s Broker-Dealer and Investment Advisor Regulatory Compliance and Enforcement Practice Group, and a senior member of the Financial Services, Securities Litigation, Commercial Litigation and Estates, Trusts and Probate Litigation groups. In his nationwide practice, Joe represents public and private companies and individuals in the financial services, banking, brokerage, insurance, real estate, manufacturing, and construction industries in a wide array of cases involving breach of contract and fraud claims, issues relating to claims of unfair competition and trade secrets violations, and general tort litigation.
His primary focus is complex securities litigation and arbitration, financial institution litigation, compliance consulting, regulatory investigations and inquiries, and broker-dealer liability defense, in which he represents broker-dealers, investment advisors, banks, and insurance companies and their licensed and registered personnel in claims involving allegations of professional misconduct. His background in business litigation and representing financial services providers also translates well into his experience in matters of estate and trust litigation.
Joe serves as the Chair of the Securities Litigation Committee of the American Bar Association’s Litigation Section and as the Chair of the Ohio State Bar Association’s Litigation Section, is a member of the Judicial Selection Committee of the Cleveland Metropolitan Bar Association and serves on the Board of Directors of LifeAct of Northeast Ohio as a member of its Governance and Advocacy committees. He also writes and speaks frequently throughout Ohio and nationwide on topics of interest to litigators and financial services professionals and has been an active member of the Defense Research Institute (DRI), the Ohio Association of Civil Trial Attorneys (OACTA) and the Securities Industry and Financial Markets Association (SIFMA).
Honors & Recognitions
Manly is the Southeast Regional Director and Director of Mediation for FINRA’s Office of Dispute Resolution. He has over 25 years of experience in the securities, legal and business professions, including the past 22 years with FINRA.
Manly began his FINRA career with the Office of Hearing Officers in Washington, DC in 1998 where he worked until August 2005. At the Office of Hearing Officers, Manly held the position of Chief Case Administrator where he was responsible for managing the Deputy Chief Hearing Officer’s caseload in addition to supervising all Case Administrators. In August 2005, Manly moved to Boca Raton for a position in FINRA’s Member Regulation Department as a Compliance Specialist. In July 2007, he was promoted to Examination Manager, where he supervised a team of cycle examiners. In May 2010, Manly assumed his current role as the Southeast Regional Director, where he is responsible for the day-to-day operations of the Southeast Regional dispute resolution office. In addition to his role as Regional Director, Manly assumed the duties of Director of Mediation in January 2019.
Manly has a Bachelor of Science degree from Virginia Tech. He has completed FINRA’s Institute at Wharton, FINRA’s Examiner University program, and coursework in mediation skills and process. Manly earned FINRA’s Excellence in Service Award in 2002, FINRA’s President’s Award in 2000, and the 1994 Pro Bono Award from Piper & Marbury LLP for outstanding casework on a class action sexual harassment lawsuit.
Mr. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. He served on the Board of Directors of the Public Investors Arbitration Bar Association (PIABA) from 2008 to 2013 and served as President for the 2011 to 2012 term. PIABA is a nationwide organization of securities lawyers that represent investors in disputes with the financial service industry.
In June 2013, Mr. Bakhtiari was named Chairman of the National Arbitration and Mediation Committee (“NAMC”) of the Financial Industry Regulatory Authority (FINRA). The NAMC is an advisory group that makes recommendations on rules, regulations and procedures governing FINRA arbitration, mediation and dispute resolution. In June 2011, Mr. Bakhtiari was nominated to serve as a public member of the Nasdaq OMX BX Arbitration Committee, which is the advisory group that provides recommendations on rules, regulations and procedures governing arbitrations, mediations and dispute resolution for the Nasdaq and Boston Stock Exchanges. In 2009, Mr. Bakhtiari was nominated to serve as a public member of the National Arbitration and Mediation Committee of FINRA.
Mr. Bakhtiari served on the faculty of the Practicing Law Institute (2012, 2014, 2015, 2016 and 2017, 2019) and New York City Bar Association's presentation of Securities Arbitration and Mediation Hot Topics (2012). Mr. Bakhtiari is a past member of the board of editors, managing editor of the PIABA Bar Journal and edited the “Recent Arbitration Awards” column covering significant NASD and NYSE arbitration awards. Mr. Bakhtiari has spoken at the Public Investors Arbitration Bar Association annual meeting, California mid-year meeting, authored and co-authored several articles. He was a teaching assistant and extern to the Honorable James N. Barr, United States Bankruptcy Judge for the Central District of California and presently serves as a FINRA securities arbitrator.
In addressing investors right's issues, Mr. Bakhtiari has been quoted by the press in publications that include the New York Times, Wall Street Journal, Bloomberg, Los Angeles Times, Reuters, Dow Jones Business News, NY Post, Los Angeles Business Journal, The American Banker and Cleveland Plains Dealer.Mr. Bakhtiari was recognized from 2014 to 2020 as a Southern California Super Lawyer. Between 2005 and 2013 he was recognized as a Southern California Super Lawyer Rising Star
Mr. Gitomer is a shareholder of McCausland Keen & Buckman in Devon, Pennsylvania and chairs the firm’s Litigation Department. eHe has been involved in all aspects of complex business litigation since 1980. His practice focuses in the areas of securities litigation and arbitration, commercial and complex civil litigation, and employment litigation. In 2008, he was honored by Pennsylvania Super Lawyers in the area of Business Litigation, and in 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016 and 2017, he was honored by Pennsylvania Super Lawyers in the area of Securities Litigation. He is “av” rated by Martindale-Hubbell.
Mr. Gitomer’s securities litigation and arbitration practice involves the representation of customers in investment disputes. From 2011 through 2016, he served on FINRA’s National Arbitration and Mediation Committee (“NAMC”), where he chaired the NAMC’s Neutral Roster Subcommittee and Rules and Procedures Subcommittee. He currently serves as Chairman of FINRA’s Discovery Task Force. He was a past member of PIABA’s board of directors and Co-Chair of the Annual Meeting Committee.
Mr. Gitomer has authored numerous articles and has frequently lectured on issues relating to securities claims and arbitration. He was the course planner for the Pennsylvania Bar Institute’s “Prosecuting and Defending Customer Claims Against Stockbrokers” (1999, 2001, 2003, 2005) and “Recent Developments in Securities Arbitration” (2009) programs, and was a speaker at the 2004, 2009, 2010, 2012, 2013, 2014 and 2016 PIABA Annual Meetings and the Practicing Law Institute’s “Securities Arbitration 2002” program.
Mr. Gitomer received a B.F.A. from New York University in 1971, and a J.D. from Indiana University School of Law in 1974. He was admitted to practice in Pennsylvania in 1974, Florida in 1980, and New York in 2004. From 1974 through 1979, he was an assistant district attorney in Philadelphia, PA.
Ms. Ciccone has served as an arbitrator for FINRA and its predecessors (NASD, AMEX and NYSE) for over twenty-five years. In addition to serving as an arbitration for the securities industry she serves as an Administrative Law Judge and Hearing Officers for several State agencies. She has also been a certified mediator. In her private practice she specialized in medical malpractice and negligence litigation.
She is a graduate of Colgate University and Hofstra School of Law.
NASD-FINRA arbitrator since the mid-1970’s and mediator in the securities industry since the program began in the nineties. Chaired the subcommittee for the NASD that developed the mediation program, and then chaired the re-named National Arbitration and Mediation Committee for three years, 1995 – 1997, during its implementation. Also active in the disciplinary side of the business as member and then Chair of a District Business Conduct Committee in the mid-eighties, member and then Vice Chair of the NASD Board of Governors, and member and chair of the National Business Conduct Committee in the late eighties and early nineties. As an arbitrator and mediator and member of these committees, reviewed, chaired and was on panels for more than one thousand cases involving broker-dealers and registered representatives.
Mediator and arbitrator for FINRA, the American Arbitration Association, the Counselors of Real Estate, International Mediation Institute at The Hague, and a member of the American College of Civil Trial Mediators. Was an officer and member of the Executive Committee of the ABA Dispute Resolution Section from 2009 to 2015, and member of the faculties of the national Mediation and Arbitration Institutes, and Co-chair of the Arbitration Institute in 2016 and 2017. Current Director and co-program chair of the Delaware Valley Chapter of the Association for Conflict Resolution; member of the New Jersey Association of Professional Mediators, and the Pennsylvania Council of Mediators. Appointed in 2014 to the FINRA National Task Force on Dispute Resolution which made over fifty recommendations for improvement to the forum at the end of 2015, and chaired the Mediation Committee of the Task Force.
Richard W. Berry is Executive Vice President and Director, Office of Dispute Resolution.
Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices—New York, Boca Raton, Chicago and Los Angeles—and the New York Case Administration unit.
Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute Resolution's Los Angeles satellite office. In 2001, he was named Director of Case Administration in the New York City office. Mr. Berry serves as Executive Champion of FINRA’s Toastmasters Clubs. Mr. Berry earned his Certified Regulatory and Compliance Professional™ designation through the FINRA Institute.
Prior to joining FINRA, he taught American law for one year in Budapest. Mr. Berry began his career practicing law in San Francisco. He is a graduate of the University of California at Santa Barbara and Hastings College of the Law. Mr. Berry is a member of the California Bar.
Sam Edwards is a partner in the Houston based national law firm of Shepherd, Smith, Edwards & Kantas, LLP (“SSEK”). Sam and his firm primarily represent investors in securities arbitration and litigation cases. That includes FINRA arbitration, AAA and JAMS as well as federal and state courts all over the United States. Sam is licensed to practice law in Texas, California and Michigan as well as a number of federal courts and others in his firm are licensed in additional states when licensing in that state is required. Sam and SSEK represent individual investors, such as retirees and professional traders, and also institutional investors, including hedge funds, pension funds, community banks and municipalities.
Sandra Dawn Grannum is a Partner in the Business Litigation Group at Faegre Drinker Biddle & Reath LLP where she serves on the Firm’s governing board and is co-chair of the Firm’s nationwide Securities and Financial Services Litigation Team. Sandy is a Fellow of the American College of Trial Lawyers and concentrates her practice on securities, broker/dealer arbitration, litigation, mediation and regulatory defense. Sandy has written and lectured widely on securities and ethics issues. She assists in preparing clients for SEC Regulation Best Interest and Interpretation RIA. She chairs the full-day PLI Securities Arbitration Seminar conducted annually in New York City and regularly speaks at the SIFMA C&L Annual Conference, ABA Conferences and on other CLE programs addressing securities, broker-dealer and employment law issues. Sandy was one of 13 individuals on the FINRA Dispute Resolution Task Force. FINRA impaneled this group to collaborate and suggest strategies to enhance the transparency, impartiality, and efficiency of FINRA's securities dispute resolution forum for all participants. On December 16, 2015, the task force issued its recommendations detailed in the Final Report and Recommendations of the FINRA Dispute Resolution Task Force. Sandy earned her law degree from Harvard Law School and her bachelor’s degree from New York University. She began her career as a litigation associate at the New York law firm of Cravath, Swaine & Moore before moving to Tenzer Greenblatt to practice securities litigation. Sandy moved in-house to be an Associate General Counsel handling securities litigation at PaineWebber (now UBS Financial Services) in 1997. In November 2001, she became Senior Vice President and Senior Associate General Counsel in UBS’s Employment Law Unit. In 2003, she formed her own firm, Davidson & Grannum, with a former PaineWebber/UBS colleague. She joined Drinker in January 2016 and that firm merged to become Faegre Drinker in February 2020.
Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C. (www.investorprotection.com), concentrates his practice on the representation of individual, high net worth and institutional investors in securities arbitration and litigation proceedings.
Mr. Caruso is the Chairman and a public member of the National Arbitration and Mediation Committee (“NAMC”) of the Financial Industry Regulatory Authority (“FINRA”); former Chairman of the Discovery Task Force Committee of FINRA; former member of the Nasdaq OMX BX Arbitration Committee; former member of the Securities Investor Protection Corporation (SIPC) Modernization Task Force; Director Emeritus and former President of the Public Investors Arbitration Bar Association (“PIABA”); and has testified before the U.S. House of Representatives, Committee on Financial Services, Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, in March 2012 and September 2010.
Among the publications that Mr. Caruso has authored are Arbitrator Withdrawals Undermine the Arbitration Process, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 3 (2019); An Introduction to FINRA’s National Arbitration and Mediation Committee, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 1 (2018); Post-Settlement Expungements: An Investor Protection Problem that Continues to Wait for a FINRA Solution, Practising Law Institute, Securities Arbitration (September 2017); Non-Attorney Representatives – Do They Present a Clear & Present Danger to the Integrity of FINRA Arbitration, Association of the Bar of the City of New York, New York, N.Y. (May 2017); Arbitrator Disclosures: Requests for Additional Information, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 4 (December 2016); Ethical Implications of the Phantom Designation of Expert Witnesses in FINRA Securities Arbitration Proceedings, Practising Law Institute, Securities Arbitration (September 2016); Definition of a FINRA Customer: To Be or Not To Be – That Is the Ultimate Question, Practising Law Institute, Securities Arbitration (July 2015); Discovery in FINRA Arbitration, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 2 (2015); FINRA Six-Year Eligibility Rule 12206: The Purchase Date is Often Not the Triggering Occurrence or Event Giving Rise to the Claim, PIABA Bar Journal, Volume 20, No. 1 (September 2013); All Public Arbitrator Panels: A More Level Playing Field, Practising Law Institute, Securities Arbitration (August 2013); Arbitrator Challenges Under the FINRA Code of Arbitration Procedure for Customer Disputes, Practicing Law Institute, Securities Arbitration (August 2010); The Mandatory Industry Arbitrator: An Endangered Species on the Precipice of Extinction, Practising Law Institute, Securities Arbitration (August 2009); Sunshine May be the Best Disinfectant for What Ails Securities Arbitration: A Discussion of the 2008 SICA Empirical Study of Fairness, Practising Law Institute, Securities Arbitration (August 2008); Effective Closing Statements From the Perspective of Counsel for the Customer-Claimant, New York State Bar Association, Securities Arbitration 2007 (November 2007); Essential Principles for Honorable Arbitrators, Practising Law Institute, Securities Arbitration (August 2007); Motions to Dismiss: A Predatory Tactic That Must be Extinguished, Association of the Bar of the City of New York, New York, N.Y. (June 2007); Ethical Standards for Securities Arbitrators: A Statistical Perspective of Potential Partiality (Bias), Practising Law Institute, Securities Arbitration (August 2006); Arbitrator Training in the Securities Dispute Arena, The Review of Securities & Commodities Regulation (January 2005); Discovery Objections Which are Irrelevant, Unduly Burdensome and are Reasonably Calculated to Lead to the Concealment of Admissible Evidence, New York State Bar Association, Securities Arbitration 2004 (October 2004); Model Arbitrator Instructions: Luxury or Emerging Necessity, Practising Law Institute, Securities Arbitration (August 2004); Ethical Considerations in Settlement Agreements, Association of the Bar of the City of New York, New York, N.Y. (June 2004); Examination of the Adverse Broker: Unimpeachable Questions with an Internet Twist, Practising Law Institute, Securities Arbitration (August 2001); On-Line Trading: The New Frontier, Practising Law Institute, Securities Arbitration (July 1999); and NASD Arbitration Discovery Procedures : Knowing Your Customer From the Securities Professional Perspective, American Bar Association, Section of Litigation, Committee on Securities Litigation (August 1995).
Mr. Caruso is a frequent speaker at various securities-related seminars and events which have included numerous securities arbitration programs at the Practising Law Institute (2019, 2018, 2017, 2016, 2015, 2013, 2010, 2007 and 2004); FINRA Annual Conferences (2018, 2015, 2013 and 2010); FINRA Dispute Resolution Offsite Staff Conferences (2019 and 2017); FINRA Arbitrator Recruitment Events (2018); the Association of the Bar of the City of New York (2017, 2008, 2007, 2005 and 2004); the New York State Bar Association (2007 and 2004); the American Bar Association (2016 and 2008); the North American Securities Administrators Association (1999); and at various law schools including Pace University Law School, Benjamin N. Cardozo School of Law, St. John’s University School of Law, Brooklyn Law School and Seton Hall University Law School.
Harry T. Walters is a Managing Director at Morgan Stanley, where he is the co-head of Wealth Management Litigation, a team that represents Morgan Stanley and its employees in court and arbitrations, and before regulators and that conducts internal inquiries. Harry joined a predecessor firm in 1989 after six years in private practice. He was most recently a member of the FINRA Dispute Resolution Task Force. Harry is a graduate of Fordham College and Columbia Law School.
Mr. Andrichik developed the first full-scale mediation program in the securities industry, and is responsible for expanding FINRA's dispute resolution services internationally. He began his career in 1980 in the Surveillance and Anti-Fraud Divisions of the National Association of Securities Dealers, Inc. (NASD). Between 1985 and 1990, he opened and managed the Midwest Regional Arbitration Office for the NASD. In 1990 he became the Deputy Director of the Arbitration Department, responsible for the operation of the largest dispute resolution forum in the securities industry. He has spoken extensively on securities arbitration and mediation, conducted arbitrator and mediator training seminars around the country, and published several articles on securities dispute resolution. Mr. Andrichik serves on FINRA's Diversity Leadership Council. He earned his degree in Finance from the University of Illinois and his law degree from Loyola University in Chicago.