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Securities Arbitration 2021


Speaker(s): Audria Pendergrass Lee, Bert H. Ware, Beverly Jo Slaughter, Brooke L. Hickman-Elgrim, Courtney R. Reid, David P. Meyer, Hasan M. Ibrahim, Jeffrey B. Kaplan, Jenice L. Malecki, Jerome Gutterman, Joseph S. Simms, Kenneth Crowley, Laura A. Kaster, Lisa Roth, Monica I. Salis, Nicole G. Iannarone, Nora Sassounian, Patricia E. Cowart, Peter J. Mougey, Renee B. Gerstman, Richard W. Berry, Samuel Edwards, Sandra D. Grannum, Sara Soto, Shannon A.R. Bond, Teresa J. Verges, Tracey Allen, Tracey Salmon-Smith
Recorded on: Sep. 9, 2021
PLI Program #: 306172

Lisa Roth is the president of Monahan & Roth, LLC, a professional consulting firm offering compliance guidance, expert witness and related services on financial and investment services topics including securities and financial services industry compliance, investment product due diligence, investor suitability, management and supervision, information security and related topics.

Ms. Roth is also the President, AML Compliance Officer and Chief Information Security Officer of Tessera Capital Partners. Tessera is a limited purpose broker dealer offering new business development, financial intermediary relations, client services and marketing support to investment managers and financial services firms.

Ms. Roth holds FINRA Series 7, 24, 53, 4, 65, 99 Licenses, and has served in various executive capacities with Keystone Capital Corporation, Royal Alliance Associates, First Affiliated (now Allied) Securities, and other brokerage and advisory firms.

In 2003, Ms. Roth founded ComplianceMAX Financial Corp. (acquired by NRS in 2007), a regulatory compliance company offering technology and consulting services to more than 1000 broker-dealers and investment advisers. Ms. Roth's leadership at ComplianceMAX led to the development of revolutionary audit and compliance workflow technologies now in use by some of the United States’ largest (and smallest) broker-dealers, investment advisors and other financial services companies.

Ms. Roth has been engaged as an expert witness on more than 180 occasions, including FINRA, JAMS and AAA arbitrations, Superior Court and other litigations, providing research, analysis, expert reports, damages calculations and/or testimony at deposition, hearing and trial

Ms. Roth is a member of FINRA’s National Arbitration and Mediation Committee, and FINRA's Series 14 Item Writing Committee. Ms. Roth was unanimously selected by her peers to serve as the Chairman of FINRA's Small Firm Advisory Board for one of a total of four years of service on the Board from 2008-2012. She has also served as a member of the PCAOB Standing Advisory Group, and is an active participant in other industry forums, including speaking engagements and trade associations.

Ms. Roth resides in CA, but is a native of Pennsylvania, where she attained a Bachelors of Arts Degree and was awarded the History Prize from Moravian College in Bethlehem, PA. Outside the workplace, Ms. Roth competes in endurance cycling and rowing events.


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).


Tracy L. Allen is a full-time national and internationally recognized conflict management specialist and neutral ADR provider and teacher.  As a business, commercial and tax attorney, she now provides ADR and conflict management training, design, prevention and resolution services throughout the world.

As a fulltime neutral, Ms. Allen mediates and arbitrates a variety of commercial matters including corporate, real estate, financial, health care, employment, securities and international disputes.  For more than twenty years, she has serviced individuals, businesses, governmental agencies and international corporations as a conflict specialist.  Ms. Allen has also served as an arbitrator and mediator in mass claims and class action matters.

Ms. Allen writes and teaches extensively throughout the world in her areas of expertise.  She is a Distinguished Professor of Conflict Management at Lipscomb University and serves as an adjunct professor at Pepperdine School of Law Straus Institute.  Ms. Allen has authored numerous articles and training materials on ADR for neutrals, advocates, judges and service providers.  She has also lectured and co-authored ADR materials on specific subject matter topics such as real estate, healthcare, tax, securities, employment, business separations and cross-cultural teaching.  She presents frequently to numerous professional organizations and academic institutions.  She is a leading teacher of ADR in the United States and for several international organizations.

Ms. Allen has been listed in Who’s Who in International Mediation, Best Lawyers in America and SuperLawyers since 2000.  She is a graduate of the University of Michigan (B.A. High Honors) and Wayne State University Law School (J.D. cum laude; L.L.M. Taxation).


Audria Pendergrass Lee leads FINRA’s strategic diversity & inclusion, workforce compliance and talent acquisition efforts for more than 3500 employees across 16 offices. Since joining FINRA in 2009, Ms. Pendergrass Lee has established FINRA as a benchmark organization for diversity and inclusion in the financial services space and spearheaded the strategic deployment of resources that support FINRA's goal to foster an attractive and inclusive workplace.  She facilitated the creation of an award-winning diversity leadership council and employee resource group program, launched formal mentoring programs, managed the implementation of organization-wide diversity education and made significant enhancements to flexible work arrangements, gender- and LGBTQ-inclusive policies and other diversity programming efforts. In 2019, Lee was recognized by The Network Journal as an Influential Black Woman in Business. She also serves on the board of the Center for Workforce Compliance and as a member of the Tanenbaum Workplace Advisory Council. Ms. Pendergrass Lee, a Life Member of Alpha Kappa Alpha Sorority, Inc., earned a bachelor of arts degree in Political Science from the University of South Carolina, a master’s degree in Organizational Management from the University of Phoenix and has continued her studies at the University of Maryland University College and Aresty Institute of Executive Education at The Wharton School, University of Pennsylvania.


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. 

 


Brooke Hickman-Elgrim is a Director with FINRA’s Vulnerable Adults and Seniors Team (“VAST”), which operates the Securities Helpline for Seniors®. The Helpline is a resource for senior investors to obtain assistance from FINRA or raise concerns about issues with brokerage accounts and investments. Prior to joining VAST, Mrs. Hickman-Elgrim was a Cycle Examiner with FINRA’s Member Regulation Department in the Boca Raton District Office. Before coming to FINRA, she worked in the industry as a Financial Advisor and then in Operations at a large mutual fund company. Mrs. Hickman-Elgrim has undergraduate and graduate degrees in International Business. 


Hasan Ibrahim is Vice President and Chief Legal Officer for Pruco Securities, LLC (d/b/a Prudential Advisors) a registered FINRA broker-dealer and investment adviser. Hasan is responsible for handling (and managing a team of lawyers who handle) a full range of legal matters that arise in connection with the operation of a business providing holistic wealth management solutions, including investments, life insurance and annuities. He serves as a strategic partner and an integral member of the Prudential Advisors senior leadership team in helping to define and influence organization strategy and vision with practical and proactive legal counsel.  Concurrently, Hasan acts as Prudential’s liaison with all state securities enforcement agencies. 

Prior to his current role, Hasan was a Regulatory Counsel in Prudential’s Law Department.  He provided oversight of significant regulatory matters for all lines of business and corporate center functions with respect to state, federal and international issues. His responsibilities included legal coverage of regulatory matters and investigations involving the Department of Justice, the Securities and Exchange Commission, FINRA as well as other federal and state government agencies. Hasan also provided privacy and data security counsel related to Title V of the Gramm-Leach-Bliley Act, Regulation S-P, Fair Credit Reporting Act, CAN-SPAM Act and other state and federal privacy requirements and global data protection laws.  Prior to joining Prudential, Hasan spent nearly 10 years at UBS in a variety of legal roles, most notably as Chief Privacy Counsel for the Americas and as a Deputy General Counsel for the Firm’s Utah-based industrial bank. 

Hasan holds an LL.M. in International Legal Studies from NYU Law and earned his J.D. from the Seton Hall University School of Law. He earned his undergraduate degree from Rutgers University.


Patricia (Trish) Cowart is an Assistant General Counsel in the Wells Fargo Corporation Law Department where she presently heads the Retail Brokerage Litigation Section. This Section handles regulatory and litigation issues for Wells Fargo Advisors and other WF retail broker dealers. This group also handles pre-litigation customer sales practice complaints.   

Prior to joining Wells Fargo / Wachovia in 2004, Ms. Cowart spent 16 years at UBS Financial f/k/a PaineWebber Inc. as the Managing Attorney of its Florida litigation group. This group was responsible for representing the firm and its employees in matters pending primarily in the Southeast U. S. and Puerto Rico. Before she began her career as in-house counsel, Ms. Cowart was a partner at the Florida law firm of Ruden McClosky.

Ms. Cowart served on the FINRA National Arbitration & Mediation Committee (NAMC) from 2008 - 2012 and on FINRA's Discovery Task Force, She is an active member of SIFMA Compliance & Legal Division's Arbitration Committee including prior service as Chair. She served for many years as an arbitrator for the NASD, NYSE and the NFA; was a member of the NYSE Regional Disciplinary Board for over 10 years; and has been invited to speak in numerous venues on topics relating to regulatory and litigation issues. 


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. 


Attorney David P. Meyer is the managing principal of Meyer Wilson, a national law firm with offices in Ohio, Michigan and California.

David is the President of the Public Investors Advocate Bar Association (PIABA), a national association of lawyers who represent individual investors in cases of investment fraud. He is also President of the Ohio Association for Justice, Ohio’s statewide bar of trial lawyers.

Since starting the law firm in 1999, David has earned a national reputation for successfully representing investors who are victims of investment fraud. He has represented more than 1,000 individual investors from all across the country in securities arbitration and litigation.

David is the author of the newly launched book titled “The Investor Protector.” He wrote the book to help prevent hard-working retirement savers from becoming victims of investment fraud and to share his experiences of cases he has handled over the past 20 years. The book is available on Amazon.

Meyer Wilson has also been appointed lead and co-lead counsel in numerous consumer class actions across the country. The firm also represents hundreds of clients who suffered serious injuries from dangerous drugs and defective medical devices. His firm has recovered more than $350,000,000 for its clients.

David can be reached through his firm’s website at www.investorclaims.com or via email at dmeyer@meyerwilson.com.


Bert H. Ware is a of Counsel in Jackson Lewis PC’s Boston offices.

Professional Experience

  • 36-years’ experience, including Wall Street and national law firm practice, with 20-years’ in-house senior level experience at Bank of America Merrill Lynch and predecessor financial services firms.
  • Practice provides strategic and tactical advice and counsel to C-suite executives and HR professionals on a full spectrum of employment-related issues.
  • Substantial experience in conducting very high-risk workplace investigations related to allegations of:unlawful discrimination, harassment, misconduct, violations of anti-discrimination laws, violations of policies and procedures, bullying, and retaliation.
  • Exceptional analytical, strategic and tactical advocacy competencies related to complex, and sophisticated management-side employment-related issues, including defense of litigation in federal and state courts, EEOC and state FEPAs, and FINRA and AAA arbitral panels.

  • Substantial practical experience in auditing & reviewing workplace policies, practices & training programs for sufficiency & effectiveness, and in providing impactful, in-person small group training for C-suite, upper management and supervisory employees concerning prevention, correcting, and mitigating risks of harassment, discrimination, and workplace retaliation.
  • Member of Jackson Lewis’ Corporate Governance & Internal Investigations and Corporate Diversity Consulting practice groups, and Financial Services industry group.
  • New York University School of Law, Juris Doctor degree – 1985.Tufts University School of Arts & Sciences, Bachelor of Arts degree, cum laude – 1981.

Professional Affiliations/Associations

American Employment Law Council (global high-level management-side labor & employment in-house and outside counsel by invitation-only organization – past panelist / speaker and active member), Association of Workplace Investigators (active member), American Bar Association (member), Massachusetts Bar Association (member), Boston Bar Association (member), New York University School of Law Black & Latino Alumni Association (member), The Partnership Alumni Association (multicultural professional talent advancement, development & retention program in corporate Boston – past Program Fellow ’91-’92), The Boston Men’s Dinner Group.

 

Bar & Court Admissions

Massachusetts 1992.  New York 1986.

Court of Appeals of the State of New York, 1986.  US District Court, Southern District of New York, 1986.  US District Court, Eastern District of New York, 1986.  Supreme Judicial Court of the Commonwealth of Massachusetts, 1992.  US District Court, District of Massachusetts, 1992.  US District Court, District of the District of Columbia, 2017.


Courtney R. Reid is Chief Compliance Officer within MML Investors Services. Prior to this role, she was Lead Counsel within the Broker-Dealer and Investment Adviser practice group at MassMutual. In this role, she is the primary regulatory attorney on FINRA and state securities matters that impact MassMutual’s retail broker-dealer, MML Investors Services, LLC. She also provides general consultation and advice to her broker-dealer and compliance clients on issues relating to U4/U5 and 4530 questions, books and records, seniors, and other regulatory-related topics that arise.

Before joining MassMutual, Courtney was an industry litigator for over 14 years as both in-house and outside counsel. She has represented broker-dealers and brokers in customer and industry disputes before FINRA’s Dispute Resolution Forum. In addition, she currently serves on FINRA’s National Arbitration and Mediation Committee.

Courtney has been passionate about advancing diversity throughout her career. She is the Chair of Passages Business Resource Group, which focuses on issues relating to the advancement, retention, and development of Black and African-American employees at MassMutual. She was a 2017 Fellow with the Leadership Council on Legal Diversity. Also, she served on the executive board for Minnesota Association of Black Lawyers and was an adjunct at William Mitchell College of Law in St. Paul, Minnesota (now known as Mitchell Hamline School of Law.)  


Jeffrey B. Kaplan is an AV-rated lawyer who represents individual and institutional investors nationwide in stockbroker and brokerage firm misconduct and investment fraud matters. Mr. Kaplan has extensive experience handling NASD, FINRA, NYSE, and AAA securities arbitration matters and has recovered millions of dollars on behalf of investment fraud and stockbroker misconduct victims. He also handles consumer fraud class actions and represents securities industry professionals in U-4, U-5, promissory note, and compensation disputes. Mr. Kaplan currently serves on the National Arbitration and Mediation Committee, which is an advisory committee that makes recommendations and drafts rules, regulations, and procedures governing FINRA arbitration.


Jenice L. Malecki is a well-known New York securities attorney and has been a FINRA arbitrator and Chairperson.  She represents investors from individuals to institutional investors in arbitration and litigation, as well as licensed industry participants in regulatory hearings, employment disputes and whistleblower matters.  She has represented private and public companies around the world, as well as individuals from blue-collar workers to athletes, musicians, and billionaire founders of well-known international companies. Malecki Law represents clients in the US, many Western European countries, India, China, Hong Kong, Singapore, Israel, Puerto Rico and South American countries.  

Ms. Malecki has been a member of FINRA’s National Arbitration and Mediation Committee, on the Board of Directors (and an Officer of) of both the Public Investors Arbitration Bar Association (PIABA) and the PIABA Foundation, as well as has been a member of the Securities and Exchanges Committee at the New York City Bar Association.  She has been a member of the American and New York State Bar Associations. Ms. Malecki has spoken at the Practicing Law Institute (PLI), the New York City and State Bar Associations, as well as the New York County Lawyers Association.  Ms. Malecki also regularly appears in the classrooms at Columbia Law School, Fordham Law School, St. John’s Law School, Brooklyn Law School and New York Law School, in addition to speaking at PIABA’s annual conferences. Ms. Malecki has also participated in mock trials at Yale, Columbia, Albany, Fordham and FINRA.

Jenice L. Malecki’s experience as a New York securities attorney began in class action litigation, In re Crazy Eddie, counsel’s office of the lead plaintiffs. Throughout the 1990s she represented numerous broker dealers and was instrumental in regulatory matters against well-known “boiler room” stock fraud of the era, including working with people and firms associated with the notorious “Wolf of Wall Street.” In 1999, Ms. Malecki founded her own practice, MALECKI LAW, in Manhattan.

Since 2012, Ms. Malecki has been named a Top Attorney by Super Lawyers and the National Law Journal, featured in the New York Times Magazine, New York Magazine, National Law Journal and other publications, as well as being named as one of “New York’s Women Leaders in the Law 2014.” Ms. Malecki is Martindale-Hubbell’s highest legal ability rating of “AV Preeminent.” She appears regularly on TV, in the news and on the radio. She is a seasoned authority on FINRA Rules and securities laws, frequently filing official comments for consideration on new rules and laws. In 2014, 2015 and 2019, she visited Senators and House of Representatives members’ offices to garner support for investor related laws. She is also a trained mediator and has been qualified by FINRA arbitrators as an expert witness.

 


Jerome Gutterman received a bachelor’s degree in Economics from the University of Chicago in 2012. Upon graduation, he started his career as an options and futures market maker at Belvedere Trading. He managed algorithm parameters for Belvedere’s proprietary trading systems, and also served as a liaison between the technology and trading departments to facilitate firm-wide communication.

After trading for almost 3 years, he transitioned to consulting and expert witness work with Capital Forensics in 2015. He has overseen the quantitative analysis of hundreds of matters, including performance and damages calculations for thousands of accounts. He has served as an expert witness for FINRA arbitrations on numerous occasions, primarily focusing on the quantitative aspects of the case.

In July 2021, he completed the Certificate in Investment Performance Measurement (CIPM) program, administered through the CFA Institute. This accreditation has enhanced his knowledge in the manager evaluation and performance measurement disciplines and increased his credibility as a quantitative expert.


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

  • Rated AV® Preeminent™: Very Highly Rated in Both Legal Ability and Ethical Standards by Martindale Hubbell Peer Review
  • Recognized as a Super Lawyer by Ohio Super Lawyers Magazine since 2015

Education

  • J.D., Cleveland-Marshall College of Law, 1996
  • B.A., The Ohio State University, 1993


Kenneth Crowley is a Managing Director at UBS AG, where he has worked since 2001.  As a member of the Americas Litigation Group, and the head of the GWM US Litigation Group, Ken oversees the firm's defenses in a wide range of securities litigations, including class actions, complex court matters and hundreds of sales practice arbitrations. Prior to joining UBS Ken was a senior litigator at Simpson Thacher & Bartlett, where he handled large complex commercial litigations and internal investigations. Ken began his legal career in 1988 as an Assistant District Attorney in the New York County District Attorney's Office under Robert M. Morgenthau, where he was lead counsel in several felony jury trials and also argued over a dozen appeals before the New York Appellate Division. He received a JD from the NYU School of Law in 1988, and a BA from Yale in 1983.


Laura is the Immediate Past Chair of the NYSBA Dispute Resolution Section (2020-2021). From 2015-2017, Laura was the President of the Justice Marie L. Garibaldi ADR Inn of Court, the first ADR Inn in the country.  She is also a past Chair of the NJSBA Dispute Resolution Section (2011-2013) and is a Co-Editor in Chief of the NYSBA’s journal, Dispute Resolution Lawyer.  She is the 2018 recipient of the Richard K. Jeydel Award for ADR Excellence and Civility and the 2014 recipient of the NJSBA’s Boskey Award for the ADR practitioner of the year.  She is a co-editor and chapter author of the CCA Guide to Best Practices in Commercial Arbitration (4th Ed 2017); She is a co-author on chapters in Halket, The Arbitration of International IP Disputes 2 ed. (2021); Singer, Arbitrating Commercial Disputes in the United States (Practicing Law Institute, 2d Edition, 2020); co-author “Arbitrating Technology Cases: Considerations for Businesspeople and Advocates”, in Samaras (Ed) ADR Advocacy, Strategies, and Practices for Intellectual Property and Technology Cases.  She is on the Roster of the National Academy of Distinguished Neutrals.  She is on the Silicon Valley Arbitration and Mediation Center Tech List of the World’s Leading Technology Neutrals, an arbitrator and mediator for the American Arbitration Association, for the International Institute for Conflict Prevention and Resolution (CPR), on the panel for the Global Mediation and Exchange Center (GMXC), and an arbitrator for FINRA.  She is a fellow of the Chartered Institute of Arbitrators and a fellow of the College of Commercial Arbitrators.  She is also a member of the Pepperdine, CCA and IMI Task Force on Mixed Modes. She is a Master Mediator for the American Arbitration and is a CEDR accredited and IMI certified mediator and a Mediate.com online mediator.  She has been a full-time arbitrator and mediator since 2006.  Before that time, she was Chief Litigation Counsel for AT&T and AT&T Labs and prior to her work at AT&T was a partner at Jenner & Block in Chicago.


Monica I. Salis has been a trial attorney for approximately 38 years.  Since 1994, her practice has comprised of complex family law litigation involving high conflict cases requiring distribution of businesses and property.   Many of these cases come to Ms. Salis by referral from probate attorneys who have been unsuccessful in establishing a guardianship for their clients or their client’s spouse, resulting in a contentious divorce.

Ms. Salis has been a Florida Supreme Court Certified Arbitrator since 2003 and has been an Arbitrator for FINRA (Financial Industry Regulatory Authority previously NASD, National Association of Security Dealers) since 1990.   Prior thereto, she represented clients and member firms in Arbitration cases before the NASD, the CFTC and the NYSE.

Ms. Salis graduated from New York University and the University of Miami Law School Cum Laud in 1979 and 1982, respectively.


Nicole Iannarone, assistant professor of law, is a scholar and leader in the practice community whose work focuses on an array of issues including regulation of financial intermediaries, the consumer’s experience in resolving securities disputes, professional ethics, and law and technology. Before joining the Drexel Kline faculty in 2019, Professor Iannarone directed the Investor Advocacy Clinic at Georgia State University College of Law. There, she oversaw students’ representation of consumer investors with small claims against their brokers before the Financial Industry Regulatory Authority (FINRA), their efforts to educate investors, and their work representing the voice of retail investors in evaluating and commenting on FINRA and SEC rule proposals.  Previously, Professor Iannarone taught at Mercer Law School and at Vanderbilt Law School.

Professor Iannarone has published extensively on an array of topics that includes financial technology, regulation of financial intermediaries, resolution of securities disputes, technology and ethics in legal practice, as well as experiential education. Her articles have appeared or are forthcoming in the Washington Law Review, Cardozo Law Review, University of Nevada Las Vegas Law Forum, Tennessee Journal of Business Law, Chicago Kent Law Review, and the University of Toledo Law Review.

Before entering academia, Professor Iannarone practiced at Bondurant, Mixson & Elmore, where she was deputy general counsel and her practice focused on complex litigation.

Professor Iannarone is the immediate past chair of the AALS Section on Employee Benefits and Executive Compensation and a member of the Section on Professional Responsibility. She is also a member of the FINRA National Arbitration and Mediation Committee and chairs the Neutral Roster Subcommittee. A past president of the Atlanta Bar Association, Professor Iannarone previously served on numerous committees and held diverse leadership roles during her years in Georgia. She is a fellow of the American Bar Foundation.  From 2017-2019, she served as chair of the State Bar of Georgia’s Professionalism Committee and as a liaison to the Georgia Chief Justice’s Commission on Professionalism.

She received her JD from Yale Law School, where she served on the Yale Journal on Regulation.


Nora Sassounian is a Case Administrator for the Western Region of FINRA Dispute Resolution Services.

Prior to working at FINRA, Nora served as a mediator for the Los Angeles Superior Courts and held numerous prestigious legal externships. Nora has mediated over 70 civil cases at the Alhambra, Downey, Inglewood and Van Nuys Los Angeles Superior Courthouses. Nora has externed with: Presiding Justice Paul Turner (CA Court of Appeals, Second District); the Honorable Beverly Reid O’Connell (Central District of California); the United States Attorney’s Office (Central District of California); the Federal Public Defender’s Office (Central District of California); and CA Supreme Court Justice Armand Arabian (Ret.).

Nora graduated from the University of Southern California (USC) with a B.A. in International Relations, magna cum laude. After USC, Nora attended law school at the Pepperdine University Caruso School of Law and obtained a Juris Doctor and a Master of Dispute Resolution degree in 2015.

Nora is the recipient of the Pepperdine Law Parris Institute for Professionalism Award.

During her time at FINRA, Nora has participated in numerous speaking engagements. Nora has presented to the National Arbitration and Mediation Committee (NAMC), the Public Investors Advocate Bar Association (PIABA), the Securities Industry and Financial Markets Association (SIFMA), the New York State Bar Association, the Securities and Exchange Commission (SEC), and law school clinics at Pace University, Northwestern School of Law, and Miami School of Law.

Nora speaks English, French, Armenian and Russian.


Peter Mougey is a shareholder and the Chair of Levin Papantonio’s Securities and Business Litigation department, recognized as one of Florida’s top 100 trial lawyers and a Florida Super Lawyer. Mr. Mougey has dedicated his career to championing individuals’ rights against the world’s largest companies. His peers have rated him AV Preeminent, the highest possible rating. Mr. Mougey concentrates his practice in the areas of complex litigation, financial services and securities litigation, and whistleblower or qui tam litigation. Mr. Mougey has represented over 1,500 state, municipal, and institutional entities, as well as tribal sovereign nations, in litigation and arbitration around the globe. In addition, he has represented more than 3,000 individual fraud victims in state and federal court and arbitrations. Most recently, in the National Prescription Opiate Litigation MDL, he was selected to serve as Co-Lead of the Distributor case and serves on the Plaintiff’s Executive Committee in what has been called “the largest and most complex case in the history of juris prudence” by the Washington Post.

Mr. Mougey routinely lectures on issues confronting the legal and business industry including, “Bet the Company Litigation,” Broker-Dealer Regulation, Structured Finance, the Dodd-Frank Wall Street Reform Act, Managing Large Datasets for use in Litigation, and Quantitative Modeling. He is frequently quoted in the national press including The Wall Street Journal, Forbes, New York Times, The Los Angeles Times, Washington Post, Barron’s, Kiplinger, Business Week, and Investment News.

Mr. Mougey advocates for the rights on investors as both the past President and member of the Board of Directors of the national securities bar, PIABA. He has also served as Chairman of the NASAA Committee, Executive Committee and FINRA’s Improving Arbitration Task Force. Currently, Mr. Mougey serves on the PIABA Foundation charged with educating investors in conjunction with the SEC.  In recognition of his long-term and sustained dedication to promote the interests of investors, he received the PIABA Lifetime Distinguished Service Award from his peers.

Mr. Mougey received his Bachelor of Science in Business Administration, majoring in Finance, from Creighton University. He earned a Master of Business Administration from the University of Portland and graduated from Samford University’s Cumberland School of Law.

 


Renee Gerstman is a full-time arbitrator, mediator and transactional attorney. In her more than three decades of practice, she has represented business owners and individuals in all types of commercial transactions and litigation in every stage of the business life cycle. Her practice includes a focus on alternative dispute resolution, business law, construction law, and real estate/real property.

Renee's extensive experience in real estate, business transactions, and litigation make her an effective mediator, arbitrator, and evaluator of business disputes. She has served as a mediator and arbitrator in a broad range of subject areas including antitrust, securities, construction defects, construction contracts, lease disputes, distributorship agreements, real estate transactions and agreements, deficiency actions, all forms of business contracts, intellectual property issues, shareholder disputes, employment disputes, franchising, business torts, attorney’s fee disputes and consumer related claims.

In addition to serving as an arbitrator and mediator on the AAA roster of commercial neutrals, AAA construction, real estate, merger and acquisition and consumer panels, Renee provides mediation and arbitration services privately, through FINRA and as a mediator for the Arizona Association of Realtors. Renee is a frequent speaker and contributor on issues relating to arbitration, mediation, professionalism, and fee disputes. She is past chair of the ADR Section of the Arizona State Bar and the Arizona State Bar Fee Arbitration Program.  

Education:

  • Barnard College of Columbia University (BA cum laude 1982)
  • Northeastern University School of Law (JD – 1985)

Admitted to the Bar: Arizona, 1985.

Professional Associations: State Bar of Arizona (Fee Arbitration Committee 1994-Present, Committee Chair (2012 – 2014); Member, State Bar of Arizona Ethics advisory Group (  (2014 – Present); Past chair of the State Bar of Arizona ADR Section of the State Bar of Arizona; Mediator for FINRA and the Arizona Association of Realtors; Judge Pro Tempore Maricopa County Superior Court 2019/2020 and 2020/2021 terms.

Awards and Honors Senior Fellow, Litigation Counsel of America; Southwest Super Lawyer (Arbitration) 2017 – Present; National Association of Distinguished Neutrals.


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.


Sara Soto’s practice encompasses a broad range of business litigation and arbitration matters.  She has represented brokerage firms, banks, corporations and individuals in arbitration and litigation involving customers, employees, other institutions and individuals.

Sara offers her clients decades of tangible experience representing broker-dealers in arbitrations brought by customers involving equities, fixed income, structured products, limited partnerships, options, managed accounts, margin and other financial products.  She is also adept in navigating her clients through regulatory proceedings and internal investigations.

A tenacious litigator and problem solver, Sara is involved in state and federal court litigation and in arbitrations involving commercial and employment disputes, such as claims for injunctive relief and damages for violation of restrictive covenants, theft of trade secrets, wrongful/constructive termination, whistleblowing, raiding, breach of contract, fraud and tortious interference, among many other topics.  Sara has also resolved literally hundreds of business disputes through negotiation and mediation, eliminating both the cost and risk of litigation.  She is valued by her clients for her pragmatic approach toward business litigation.

Sara is also a member of Bressler's Senior and Vulnerable Investor Group.The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.


Shannon A. R. Bond graduated from Andrews University with a bachelor’s degree in Sociology and received her Juris Doctor degree from Northwestern University School of Law. Shannon began her career, practicing Corporate and Intellectual Property Law at a law firm. She went on to become Associate Counsel to the Speaker of the Illinois House of Representatives, before joining the finance industry as an Enforcement Attorney and the Manager of the Registration & Licensing Division for the Illinois Securities Department. She then served as the Investment Compliance Officer, Board Secretary, and Human Resources Director for the Illinois State Board of Investment. Currently, Shannon is the Associate Regional Director for the Midwest Region of FINRA Dispute Resolution Services, managing a team of five Case Administrators and two Case Specialists.