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Securities Arbitration 2018


Speaker(s): Andrew Stoltmann, Barry R Lax, Bert Ware, Beth Trent, Beverly Jo Slaughter, Darya Geetter, David E. Robbins, Elissa Germaine, Ellen Slipp, Harry T. Walters, James Schroder, Jamie Helman, Jeffrey Jury, Kathy S Adams, Katrina M. Boice, Kenneth G. Crowley, Kenneth L. Andrichik, Laura A. Kaster, Louis Miron, Marnie C. Lambert, Nicole Iannarone, Paul B Radvany, Richard W. Berry, Ross Intelisano, Sandra D. Grannum, Steven B. Caruso, Susan Harper, Teresa J. Verges, Tracey Salmon-Smith
Recorded on: Sep. 26, 2018
PLI Program #: 220410

James Schroder is Associate Vice President of Product Management, FINRA Dispute Resolution. Mr. Schroder began his career in 1987 as a computer programmer for Prudential-Bache Securities. In 1989, he moved to J.P. Morgan, where he worked as a Technology Project Manager in the Global Custody, Interest Rate and Commodity Derivatives, and Securities Lending groups. Mr. Schroder began working in the Product Management group for the Nasdaq Stock Market in 1995. He led the analysis and implementation of the corporate bond trade reporting and transparency system, TRACE. In 2003, Mr. Schroder moved to FINRA's Dispute Resolution department to lead its Product Management group. He earned his degree in Computer Science from New York University


Darya Geetter is an Executive Vice President, Deputy General Counsel, at LPL Financial.  She is responsible for managing all litigation and arbitration matters impacting the company and its advisors.  She also leads the firm’s insurance program, placing all coverage. 

Darya has been practicing for over 25 years and was formerly at MF Global Holdings Ltd., where she served as Global Head of Litigation and Deputy General Counsel with responsibility for coordinating all litigation globally, managing all U.S. regulatory relationships, and leading internal investigations.

In earlier roles, Darya served as Deputy General Counsel and Executive Director at UBS Financial Services; Managing Director/Principal at Bear, Stearns & Co. Inc.; 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 Assistant U.S. Attorney for the District of Columbia.

Darya earned a J.D. from New York University School of Law and a Bachelor of Arts with Honors from the University of Chicago.  She clerked for a U.S. District Court judge in New Orleans, LA and is admitted to practice in the District of Columbia, New York, Massachusetts, and various U.S. district and appellate courts.  She is currently on the FINRA NAMC and is Chair of the SIFMA Arbitration Committee.


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.


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.

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.


Ross B. Intelisano is a partner of Rich, Intelisano & Katz, LLP, an internationally recognized law firm with offices in New York and Los Angeles that focuses on complex, highly sophisticated litigation and arbitration, and related advisory and transactional services. Mr. Intelisano represents individual and institutional investors in securities arbitration and litigation against financial firms. He also represents OTC derivatives and commodities investors, as well as employees in industry disputes and self-regulatory organization investigations.

Mr. Intelisano has extensive experience in large and complex financial fraud cases on behalf of investors worldwide. He and his partner John G. Rich have won three of the most substantial customer arbitration awards ever rendered against Wall Street firms, including a $10 million FINRA award (and $5.9 million rejection of a counterclaim) in June 2016 in the Montfort v. C.L. King & Associates matter.

Mr. Intelisano’s securities clients have included ultra high net worth and high net worth individuals, family offices, hedge funds, funds of funds, endowments, non-profits and other institutions in claims against brokerage firms, investment and private banks, investment advisors, hedge funds and other financial companies.

In 2010, Mr. Intelisano, Mr. Rich and their firm won the Bayou v. Goldman Sachs Execution & Clearing case: a $20.6 million FINRA arbitration award against Goldman Sachs related to the Bayou hedge fund fraud. The 18-day hearing generated a 100% recovery of the compensatory damages requested. It is the largest arbitration award ever rendered against Goldman, the third largest hedge fund-related customer arbitration award, and amongst the largest customer arbitration awards of any kind against a Wall Street firm. The award is also the first win in any court or arbitration forum by investors against a clearing or prime broker related to a hedge fund Ponzi scheme based upon fraudulent transfer theories. The award was confirmed by Judge Rakoff of the SDNY and upheld on appeal by the Second Circuit in 2012.

New York Super Lawyers, a publication of The New York Times Magazine, named Mr. Intelisano as one of New York’s top Securities Litigation attorneys every year since 2010.  Mr. Intelisano is a leading authority on securities and financial fraud and is a frequent television and print commentator. He has appeared on the television news programs the Today Show, Dateline NBC, Anderson Cooper 360, PBS’s Frontline, Closing Bell and various other CNBC shows, CNN, NBC, CBS, ABC, and Fox Business News programs regarding financial fraud. He has been quoted extensively by the New York Times, Wall Street Journal, Financial Times, USA Today, Business Week, Vanity Fair, Bloomberg, Dow Jones and other financial publications.

Other significant representations include in December 2009, Mr. Intelisano, Mr. Rich and their firm won a $3.4 million arbitration award against Bear Stearns related to the High Grade Structured Credit Strategies hedge funds which blew up in July 2007. It is the first and only reported victory by any High Grade investor and the award was rendered after the criminal acquittals of portfolio managers Ralph Cioffi and Matthew Tannin. 

Mr. Intelisano and Mr. Rich pioneered the practice of representing groups of individuals and institutions in customer arbitrations related to hedge fund fraud. In 2011, Mr. Intelisano represented 13 investors from around the world who had lost over $40 million in a group arbitration related to the Bear Stearns High Grade Funds. He successfully represented numerous investors in group claims against investment advisors and banks for failing to do proper due diligence in their recommendation of Bernard Madoff-related feeder funds. He also represented numerous investors in substantial arbitrations against Citigroup related to the ASTA/MAT and Falcon hedge funds which settled.

The Firm resolved a $15 million dispute on behalf of a fuel and heating oil company against an international broker dealer related to the purchase of OTC derivatives, including swaps and options, pursuant to an ISDA agreement. The case was litigated in court in New York as well as in two FINRA arbitrations.

Starting in 2005, Mr. Intelisano’s firm represented investors who lost over $25 million in the $350 million Bayou hedge fund Ponzi scheme run by convicted fraudster Sam Israel. In 2007, the Firm settled a multi-million dollar group arbitration at the American Arbitration Association (AAA) related to Bayou versus a registered investment advisor for failing to do proper due diligence. In 2005, Mr. Intelisano obtained favorable settlements on behalf of clients who invested with Kevin Kelley, a Connecticut hedge fund owner and Ponzi scheme artist.

Mr. Intelisano and his partner Mr. Rich were co-trial counsel in the Engel, et al. v. Refco commodities Ponzi scheme case at the National Futures Association (NFA). The 100-day group arbitration on behalf of 13 individuals and family run businesses generated a $43 million award in 2001, which at the time was the largest collected arbitration award ever rendered on behalf of public customers against a brokerage firm.

In 2006, Mr. Intelisano published, Hedge Fund Fraud - The Future of Securities Arbitration? in Bloomberg Law Reports - Securities Arbitration. Said article predicted one year prior to the Bear Stearns High Grade Funds implosion that broker-dealers would roll out proprietary hedge funds that were bound to blow up in the future which would cause customer arbitrations against broker-dealers. He has written various articles for the Practicing Law Institute’s Securities Arbitration course handbooks, the seminal securities arbitration continuing legal education program. Mr. Intelisano is a frequent lecturer on securities and financial fraud at the Association of the Bar of the City of New York, the New York State Bar Association and other bar associations. He is also an arbitrator at FINRA and NFA.

Mr. Intelisano, Mr. Rich and Daniel E. Katz formed Rich, Intelisano & Katz, LLP in 2011. Mr. Intelisano and Mr. Rich were partners in Rich & Intelisano, LLP from 2003 through 2011. From 2001 to 2003, Mr. Intelisano was of counsel to Bauman, Katz & Grill, LLP, where he headed the firm’s securities and employment arbitration and litigation practice. Along with his present partner, Mr. Katz, Mr. Intelisano handled NASD and NYSE securities arbitrations on behalf of investors and broker-dealers, and represented employees in employment disputes, SRO investigations and registration disputes. Prior to that, Mr. Intelisano was an associate at Eppenstein and Eppenstein where, along with his present partner Mr. Rich, he represented high net worth individuals in large and complex securities and commodities arbitrations. He began practicing securities and employment law with Mr. Katz at Pressman & Associates.

Mr. Intelisano received a B.A. in International Business from Lehigh University in 1991 and his JD from Brooklyn Law School in 1994. He was admitted to the New York State Bar in 1995, the U.S. District Court, Southern District of New York and Eastern District of New York in 1998, and the Second Circuit Court of Appeals in 2011. He is a member of the Public Investors Arbitration Bar Association.

The Op Ed page of the New York Times published Mr. Intelisano’s essay Ending the 212 Clique http://www.nytimes.com/2003/02/01/opinion/ending-the-212-clique.html.  He presently has an essay in Worn Stories, Emily Spivack’s New York Times Best Seller of clothing-inspired narratives.  http://wornstories.com/the-book/

Mr. Intelisano lives in Brooklyn with his wife Stacey Reiss, a documentary film and television producer and director, and their two sons.


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”); 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; and has served as a judge for the Yale University Mock Trial Invitational Tournament and for Invest-Write, the national investment strategy writing competition sponsored by the Securities Industry & Financial Markets Association (SIFMA) Foundation.

Among the publications that Mr. Caruso has authored are 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).


Susan L. Harper, Esq. is the Managing Director NY/NJ of Bates Group LLC.  Voted a “Best Securities Litigation Consulting Firm” by readers of the New York Law Journal, Bates Group is the nation’s preeminent financial services consulting firm, providing end-to-end solutions for financial services firms and their counsel, offering litigation consultation and expert witness testimony, damages consulting, regulatory and internal investigation support, compliance solutions, and AML and financial crimes investigation services. 

An experienced securities litigation attorney, Susan has represented major broker dealers, insurance companies, clearing firms and their employees on a variety of matters before FINRA, the SEC and state and federal courts in connection with customer, industry and employment disputes, as well as compliance and regulatory matters.  She has successfully defended, mediated and settled claims involving suitability, speculative products, hedge funds, overconcentration, fraud, churning, misappropriation, negligence, fiduciary duty, failure to supervise, Form U4/U5, and wrongful termination/discrimination.  She is experienced in advising clients, working with experts, and devising strategic approaches in securities arbitration and litigation matters.

Susan is the immediate past Chair of New York County Lawyers’ Association’s (NYCLA) Committee on Securities & Exchanges, where she led a group of over 150 securities attorneys, successfully engaging members, industry leaders and regulators.  

Susan brings her securities litigation and legal experience to Bates in her role of Managing Director NY/NJ, where she handles external relations with Bates Group’s clients, strategy, practice and expert engagement, and oversees company communications.  As head of Bates Research, Susan utilizes her ABA award-winning journalism background as a Legal Editor and a Reporter for the New York Law Journal and Editor with the National Law Journal/ALM Marketing.  Her work has contributed to Bates Group’s significant growth and nation-wide roster of 135 experts covering over 250 areas of financial services expertise.

A leader in advancing women’s rights, Susan is the founding Chair of the New York State Bar Association’s (NYSBA) new Women in the Law Section, having previously served as Chair of NYSBA’s Committee on Women in the Law and its Legislative Affairs Subcommittee.  She is a Past President and Chair of the Board of Directors of the Financial Women’s Association (“FWA”) of New York, Inc., where she also served as FWA’s General Counsel and Board Restructuring Chair.  In 2016, she was honored as an “FWA Public Sector Woman of the Year.”

A member of the New York and New Jersey Bars, Susan is admitted to practice before the New York and New Jersey state courts and the U.S. District Courts for the Southern District and Eastern District of New York and of New Jersey.  She possesses a B.A. in Business Management from Simmons College, Boston, and a Juris Doctor degree from New York Law School (with highest honors).  She is a proud member of NYCLA’s Board of Directors and is a frequent lecturer at securities law and women’s advancement programs.

Prior to beginning her law career, Susan conducted an international business throughout Western and Eastern Europe, the Middle East, Asia and the Caribbean.


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 launched in January 2012. The Clinic 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 students at the Clinic and teaches a seminar on the substantive law of securities arbitration, broker-dealer regulation, professional responsibility and practical skills allowing the students to undertake all aspects of client representation.

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 currently serves on FINRA’s National Arbitration and Mediation Committee.


Tracey Salmon-Smith is a partner at Drinker Biddle & Reath LLP.  She assists clients in commercial disputes, employment litigation, securities law, and internal investigations.  In the securities space, Ms. Salmon-Smith represents broker-dealers before the Financial Industry Regulatory Authority (FINRA) in arbitrations and mediations related to allegations of fraud, misrepresentation and unsuitability.  She also handles expungement proceedings.  As an employment litigator, Tracey has defended corporate clients against claims related to age, race and gender discrimination, workplace sexual harassment, whistleblowers, and wrongful discharge.  She also advises clients on e-discovery and information management issues.

Previously, Ms. Salmon-Smith served as Director and Associate General Counsel at UBS Financial Services Inc., and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY).  During her time as an assistant U.S. attorney, Tracey served as both the Acting Chief of Environmental Litigation and the Chief of Bankruptcy.


Sandra Dawn Grannum is a Partner in the Litigation Group at Drinker Biddle & Reath LLP where she is co-chair of the Commercial Litigation Team. She concentrates her practice on securities, broker/dealer arbitration, litigation, mediation and regulatory defense.

Financial Services Litigation. Sandy has tried complex multimillion-dollar arbitrations before FINRA, AAA and JAMS across the country. She has tried more than 50 arbitrations before the NASD and FINRA through award, representing brokerage firms, banks, clearing firms, and associated persons. In addition, she has successfully pursued cases in state and federal courts and in adversarial proceedings before bankruptcy courts.

Employment Litigation. Sandy is an experienced employment law practitioner having tried a number of employment arbitrations and administrative hearings. She has represented a number of corporate clients in federal courts across the country and before the Equal Employment Opportunity Commission (EEOC), as well as state  Divisions and Commissions of Human Rights.

General Litigation. Sandy has handled a variety of complex general litigation matters, including shareholder clawback litigations and takeover/business judgment rule litigations, employment discrimination and securities litigation.

Sandy has written and lectured widely on securities and ethics issues. She has been involved in developing compliance programs in response to the Department of Labor fiduciary rule and Dodd-Frank and Sarbanes-Oxley legislation. 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 and on other CLE programs addressing securities and employment law. 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 PaineWebber/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.


Andrew Stoltmann is a Chicago based attorney, author, TV commentator and investor advocate. He concentrates his legal practice in representing investors who are the victims of investment fraud. He has represented over one thousand individuals in lawsuits and FINRA securities arbitration actions against brokerage firms like Merrill Lynch, Morgan Stanley, UBS, Raymond James, JP Morgan, Ameriprise,  LPL Financial, and has tried approximately 80 cases. Previous to opening the Stoltmann Law Offices P.C. he was a partner in a law firm concentrating its practice in the representation of investors in lawsuits, arbitration claims and class actions against brokerage firms.

Mr. Stoltmann became the President of the Public Investor Arbitration Bar Association (PIABA), an international bar association of attorneys whose members represent investors in disputes with the securities industry, in October of 2017. He previously served as PIABA’s Executive Vice President.  Mr. Stoltmann is also currently an adjunct securities law professor at Northwestern University School of Law in Chicago. He authored the book Waging War on Wall Street (see below).

After graduating from the University of Wisconsin (Madison) with a Bachelor of Business Administration degree, Mr. Stoltmann worked as a licensed stockbroker for Olde Discount and Merrill Lynch. While in law school at DePaul University, Mr. Stoltmann clerked at the Chicago NASD Dispute Resolution office (now called FINRA), where 95% of securities arbitration cases are decided.

Mr. Stoltmann has appeared as an analyst providing legal opinions and commentary on 20/20, Dateline, ABC, CBS, NBC, Fox, CNN, CNBC, Bloomberg, National Public Radio and others (please see Andrew in The News). Mr. Stoltmann has been quoted in various publications worldwide including the Wall Street Journal, Christian Science Monitor, Business Week, Forbes, Fortune, USA Today, Chicago Tribune, Los Angeles Times, Kiplinger’s, Jerusalem Post, London Post, London Free Press, The Guardian (UK), Daily Telegraph of London, Montreal Gazette, MaClean’s, Calgary Herald, Toronto Globe & Mail, Toronto Star, Mainichi Daily News (Tokyo), China Daily (Beijing), Mail & Guardian (Johannesburg), National Post, and The Scotsman (Edinburgh).

Mr. Stoltmann is a member of PIABA (Public Investor Arbitration Bar Association), ATLA (Association of Trial Lawyers of America), the Chicago Bar Association, Illinois State Bar Association and is admitted to the United States District Court for the Northern District of Illinois and the Eastern District of Wisconsin.


Barry R. Lax, a founding partner of Lax & Neville LLP, has an extensive background in commercial, employment and securities litigation in all forums, including, state and federal courts, and arbitrations before the Financial Industry Regulatory Authority, Inc. (“FINRA”), National Futures Association (“NFA”), Judicial Arbitration and Mediation Services (“JAMS”) and the American Arbitration Association (“AAA”).

Throughout his career, Mr. Lax has represented customers of broker/dealers and registered investment advisors, and hedge fund investors in disputes regarding sales practice violations in complicated commercial and securities litigations. Mr. Lax also represents employees in the financial services industry and private employment disputes, ranging from general breach of contract and failure to pay bonus claims to complex HIV discrimination, whistleblower and Qui Tam actions. He has recovered in excess of $100 million in arbitration awards, judgments and settlements on behalf of broker/dealer customers and employees in the financial services industry, and has successfully defended and resolved numerous matters on behalf of his defense clients.

Mr. Lax has been quoted extensively by The Wall Street Journal, The New York Times, CNN Money, Bloomberg, Dow Jones, Financial Planning, Thomson Reuters, New York Post, NY Daily News, Newswires Column, Investment News, WealthManagement.com, WNYC News, Long Island Press, Yeshiva World News and other financial publications. He has also appeared on television and radio news programs such as CBS News, NBC News, Court TV and Marketplace/NPR.


Bert H. Ware is a Principal and a member of Bressler Amery & Ross’ Labor and Employment group.

  • 33 years’ experience, including Wall Street and national law firm practice, and most recently, 20 years’ in-house experience at Bank of America Merrill Lynch and predecessor financial services firms.
  • Practice provides strategic and tactical advice and counsel to company executives and HR professionals on employment-related issues.
  • Substantial experience in conducting 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.

Education

  • New York University School of Law, Juris Doctor, 1985
  • Tufts University School of Arts & Sciences, Bachelor of Arts, cum laude, 1981

 

Bar Admissions

  • Massachusetts 1992
  • New York 1986

 

 


Beverly Jo Slaughter

Wells Fargo Corporate Law Department

 

Beverly Jo Slaughter is a Managing Counsel in the Wealth Investment Management Litigation Section of the Wells Fargo Corporate Law 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.  She is currently a member of the National Arbitration and Mediation Committee. 


David E. Robbins

Kaufmann, Gildin & Robbins LLP

 

Mr. Robbins is a partner in the New York City law firm of Kaufmann Gildin & Robbins LLP and specializes in commercial arbitration and mediation.[1] He represents investors, brokers and firms in disputes and brokers and firms before regulatory agencies.  He is an arbitrator and also an expert witness in malpractice and billing cases arising out of securities arbitrations.  He and his firm have been responsible for the return of tens of millions of dollars to investors and have represented many brokers accused of wrongdoing in arbitrations and regulatory matters. Mr. Robbins served as Special Deputy Attorney General of New York State, responsible for the civil and criminal prosecution of securities fraud cases and was the American Stock Exchange Director of Compliance and Director of the Legal and Regulatory Policy Division, where his was Director of Arbitration and Director of Disciplinary Hearings. He has the highest Peer Review Rating (AV) from Martindale-Hubbell and has been approved as a “Super Lawyer.”  In 2018, Securities Arbitration Commentator wrote: “We’ve heard David E. Robbins called ‘the Dean of Securities Arbitration’ and there is ample reason why.”

 

Mr. Robbins is the author of Securities Arbitration Procedure Manual (Dec. 2017 Matthew Bender, a division of Lexis Publishing2), the primary text in this area of the law for over 27 years.  This two volume hardcover and electronic book presents pragmatic, balanced guides to the practice of securities arbitration and mediation for attorneys representing investors, brokers and firms. He updates the book annually with new cases and revised sections. He regularly lectures at law schools that use the book in their courses. Since 1995, Mr. Robbins has written the annual Practice Commentary  to McKinney's Consolidated Laws of New York, Article 23-A of the General Business Law - on securities arbitration and mediation for New York attorneys.3  Approximately 70 of his articles on securities law have been published.

 

Mr. Robbins had the honor of serving as the Chairperson for more than 20 Practising Law Institute (PLI) continuing education programs on securities arbitration and mediation. He is the recipient of the Public Investors Arbitration Bar Association (PIABA) lifetime achievement Golden Bow Tie Award and was a member of FINRA Dispute Resolution’s National Arbitration and Mediation Committee, where he chaired the Neutral Roster Subcommittee. He is a member of the New York City Bar Association, PIABA, The PIABA Foundation (for investor education), the Compliance and Legal Division of the Securities Industry and Financial Markets Association (SIFMA) and the Board of Editors of Securities Arbitration Commentator and The PIABA Bar Journal. The American Arbitration Association published his updated chapter: “Calling All Arbitrators: Reclaim Control of the Arbitration Process – The Courts Let You” for its Handbook on Arbitration Practice.

 

Mr. Robbins is the co-chair of the New York State Bar Association program on securities arbitration, which will next take place in November 2018.



 


Jamie L. Helman is an associate at Drinker Biddle & Reath LLP.  She concentrates her practice on securities, broker-dealer arbitration, litigation, mediation, employment matters, and regulatory defense. She has experience first-chairing FINRA arbitrations, defended on-the-record testimony of broker-dealer employees before FINRA, handled expungement proceedings, and is presently involved in the representation of broker-dealers in several pending FINRA cases as well as regulatory matters.

Prior to joining private practice, Jamie worked as in-house counsel at Bear, Stearns & Co. Inc. in both the Litigation Department and Equities Regulatory Group. Jamie represented Bear, Stearns & Co. Inc. in a broad range of business disputes. She assisted in numerous cases in federal and state courts and in arbitrations before FINRA. Jamie also investigated and responded to governmental and regulatory inquiries.

While in law school, Jamie was a legal intern for the Office of the Kings Country District Attorney and New York Stock Exchange, Division of Enforcement.


Jeff Jury, a founding partner of Burns Anderson Jury & Brenner, L.L.P. in Austin, is a lawyer, mediator, arbitrator and teacher.  He holds the designation “Credentialed Distinguished Mediator” from the Texas Mediator Credentialing Association.  Jeff is the Immediate Past President of the International Academy of Mediators, and has served on the Council of the State Bar of Texas Construction Law Section.  He authored chapters on negotiating liquidated damages, comprehensive lien releases, and settlement agreements for “Construction Checklists,” published by the ABA Forum on the Construction Industry.  His article on flow-down clauses in construction contracts is frequently cited in continuing education articles. 

Jeff teaches Mediation, and Negotiation, at the University of Texas Law School.  He was honored with the Professionalism Award by the Austin Bar Association and the Texas Center for Legal Ethics and Professionalism, in 2009.


Kathy Adams is the owner of Kathy Adams Dispute Resolution Services, a mediation and consulting firm focused on disputes involving the financial services industry.  Her wide-ranging experience includes investor-initiated disputes, wrongful termination and U-5 defamation matters, harassment and discrimination cases, intra-industry disputes, protocol issues, and trust/estate contests.  Kathy brings an evaluative, litigation-focused approach to mediation, along with the creativity needed to resolve cases that are especially difficult or involve uncommon challenges.

With more than 25 years of experience in and around the financial services industry, Kathy brings a wealth of knowledge and a variety of perspectives and insights to the cases she mediates.  As an advocate, Kathy successfully litigated to award claims totaling millions of dollars and negotiated the settlement of hundreds of cases.  As in-house counsel for a global brokerage firm, she gained valuable insight into the inner workings of the financial services industry.  As a litigation consultant, she has worked through detailed case evaluations with attorneys for claimants/plaintiffs and respondents/defendants. 

Participants in mediations prefer a neutral who understands their circumstances, including how and where they live.  Kathy has lived and worked in most regions of the country and enjoys mediating in all locations.  Her geographic diversity and understanding of unique regional culture has proved invaluable in resolving cases across the country, and especially in cases venued between the coasts. 

Kathy is licensed to practice law in both California and Minnesota and is an active member of the ABA Litigation Section’s ADR and Securities Arbitration subcommittees, the Southeastern Women in Financial Services (SWIFS), and the Southern California Mediation Association.  She is a sought-after speaker on negotiation and settlement strategies, financial elder abuse, behavioral economics, and the benefits of bringing diverse views and approaches to mediation.  Kathy earned her JD from Mitchell|Hamline School of Law, one of the top law schools in the country for ADR.  She completed her mediator certification at Pepperdine University’s Strauss Institute for Dispute Resolution.

An avid runner, Kathy competes in races across the country.  She is looking forward to running her second Boston Marathon in 2019.


Katrina M. Boice represents clients in securities arbitration matters before FINRA and securities litigation in state and federal courts. Ms. Boice began her career in 2008 and has gained valuable knowledge in the industry.

Ms. Boice is a member of the Public Investors Arbitration Bar Association and has served on its membership committee, annual meeting committee and bar journal committee. Ms. Boice has spoken before law students and professional groups on various topics which include social media, the handling of securities arbitration and litigation involving brokerage firms.

In May 2017, Ms. Boice was nominated as a public member of the National Arbitration and Mediation Committee (NAMC) of the Financial Industry Regulatory Authority (FINRA) which is the advisory group that provides recommendations on rules, regulations and procedures governing arbitrations, mediations and dispute resolution.

In May 2017, Ms. Boice was elected to be part of the Discovery Task Force Committee (DTFC) of the Financial Industry Regulatory Authority (FINRA) which is the advisory group, established in conjunction with a directive from the U.S. Securities & Exchange Commission, that will review substantive issues relating to discovery in arbitration proceedings that are conducted under the auspices of the FINRA Code of Arbitration Procedure.

In July 2018, Ms. Boice recognized as a Southern California Rising Star in Super Lawyers.


Ken Crowley is an Executive Director at UBS AG, where he has worked since 2001.  As a member of the Americas Litigation Group and the head of the WM US Litigation Group Ken oversees the Firm's defenses in a wide range of securities litigations, including class actions, complex court matters and sales practice arbitrations. Prior to joining UBS Ken was a senior litigator at the Simpson Thacher & Bartlett law firm, 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, First Department. He received a JD from the NYU School of Law in 1988, and a BA from Yale in 1983.

 


Louis H. Miron is a sole practitioner in Cranford New Jersey.  After serving as a law clerk for the U.S. District Court for the Southern District of Georgia, he taught at a law school for one (1) year and then entered private practice and has worked primarily on securities and other commercial litigation.  Through the years, he has represented customers, financial advisors and broker-dealers before the SEC, FINRA, N.J. Bureau of Securities and other federal and state securities agencies.  He has also been appointed as Receiver and Fiscal Agent by the U.S. District Court and N.J. Superior Court with respect to cases involving significant Ponzi schemes.  The Superior Court has also appointed him to serve as a Monitor or Fiscal Agent in at least four (4) other, unrelated cases involving telemarketing and consumer fraud actions brought by the N.J. Attorney General.  He also worked the U.S. Attorney, the N.J. Attorney General, the NASD, the SEC, the U.S. Postal Inspector’s Office and the N.J. Bureau of Securities in connection with a major penny stock investigation that resulted in the over twenty (20) federal criminal convictions and the return of substantial money to the defrauded public customers. He has chaired and served on many NASD/FINRA arbitration panels since the early 1990’s


Nicole G. Iannarone, is an associate clinical professor at Georgia State University College of Law.  She focuses her scholarship on the regulation and duties of fiduciary-level service professionals including lawyers and advisers in the financial services sector.  Iannarone is also the director of the Investor Advocacy Clinic where she teaches and supervises students who represent small investors with claims against their brokers in FINRA arbitration proceedings.  In addition to her teaching in the Investor Advocacy Clinic, Iannarone teaches Civil Procedure, Complex Litigation, Business Arbitration Practicum, and Professional Responsibility.  A graduate of Yale Law School, Iannarone was a partner and deputy general counsel at Bondurant Mixson & Elmore LLP in Atlanta, GA, where she practiced for nearly a decade representing plaintiffs and defendants in complex commercial litigation. Iannarone is active in the bar and the community. She is president of the Atlanta Bar Association, chair of the State Bar of Georgia’s Professionalism Committee, a member of the FINRA National Arbitration and Mediation Committee (NAMC), and a member of the State Bar of Georgia Formal Advisory Opinion Board.  Iannarone has been named a “Local Litigation Star” by Benchmark Plaintiff, was named a Rising Star attorney by Super Lawyers, received the Atlanta Council of Younger Lawyers Kerry Harike Joedecke Atlanta Young Lawyer of the Year Award, and received the Brenau Women’s College Young Alumnae Award.  In law school, Iannarone was an editor of the Yale Journal on Regulation, served as a dean’s advisor and was a student director of the Housing and Community Development Clinic. She is a summa cum laude graduate of Brenau Women’s College.


Paul Radvany

Fordham University School of Law

 

Paul Radvany is a Clinical Professor at Fordham Law School where he directs the Securities Arbitration Clinic and also teaches Trial and Arbitration Advocacy.  He is a past Chair of the American Association of Law Schools’ Litigation Section.  He is an active mediator and is a mediator for the International Institute for Conflict Prevention (“CPR”) and was appointed in 2016 to be one of a handful of mediator for a pilot mediation program for the Second Circuit.  He is also a member of the mediation panels for the Eastern District of New York, the Southern District of New York as well as the Commercial Division of New York Supreme Court.  Professor Radvany was appointed to the inaugural Mediation Advisory Committee for the Southern District of New York.  He has taught and trained lawyers, law students and LLM students on various aspects of arbitration and mediation and has been appointed as a member of the Securities Industry Conference on Arbitration.  He is a member of the following New York State Bar Association Committees:  Securities Litigation and Arbitration Committee; Commercial and Federal Litigation Committee on Arbitration and ADR; and the Dispute Resolution Section’s Mediation Committee.   

 

Before joining Fordham’s faculty, Professor Radvany was a Deputy Chief of the Criminal Division for the United States Attorney’s Office in the Southern District of New York, where he oversaw the Securities and Commodities Fraud, Major Crimes, and General Crimes Units and directed the trial training program for new prosecutors.  He also is an adjunct professor at Columbia Law School, where he teaches Trial Practice and the Federal Court Clerk Externship class.  Before joining the U.S. Attorney’s Office, Professor Radvany was a litigation associate at Debevoise & Plimpton.  He clerked for the Hon. Michael H. Dolinger in the Southern District of New York, and he received his J.D. from Columbia Law School, where he was a Harlan Fiske Stone Scholar, and his B.A. from Columbia College. 


Beth Trent is an attorney and compliance expert with Axiom Law and a frequent speaker and writer on design and implementation of dispute resolution systems, including early issue identification, process analysis, and process design and management. As Senior Vice President, Public Policy, Programs, and Resources at the International Institute for Conflict Prevention and Resolution (CPR), she was responsible for identifying and analyzing emerging issues impacting dispute resolution across all major industry sectors in the United States and abroad, and developed training programs and tools to enable CPR members (Fortune 500 companies and global law firms) to improve their international dispute resolution capability.  Beth has served a member of the United States Delegation to the United Nations Commission on International Trade Law (UNCITRAL), and as a member of the United States Delegation to UNCITRAL Working Group III, which developed the Technical Notes on Online Dispute Resolution, the first international guidance for implementation of  online dispute resolution systems.  In addition, Beth serves on the Council of the ABA Section of Dispute Resolution, is a founding member of the New York ADR Inclusion Network, and frequently writes and speaks on enhancing diversity within the profession. 

Beth spent the first 11 years of her career as a litigator at Cravath, Swaine & Moore, where her work was largely focused on complex multijurisdictional matters. Following Cravath, she was litigation counsel at both GE Capital and Schering-Plough (now Merck), where she pioneered early case assessment and ran complex litigation. In her roles at both companies, Beth helped to develop and implement processes for early resolution of disputes and led teams that used ADR strategies to resolve complex disputes with federal and state entities, including DOJ, FTC and the Attorney’s General of all U.S. states and territories. Beth was also a Director in PricewaterhouseCoopers’ Corporate Governance and Compliance Risk Management practice. She has a JD from the University of Virginia and a BA from Oberlin College.


Ellen Slipp is Managing Director and Head of Litigation for The Citi Private Bank.  In that role she manages litigation globally including: securities litigation, employment law claims, internal investigations, ethics inquiries etc.   Prior to January 2005, she spent 11 years at the Citigroup Corporate and Investment Bank trying sales practice arbitrations, employment arbitrations and representing the company and individual employees in regulatory inquiries.  Ellen speaks at many industry conferences in addition to SIFMA, 85 Broads and various PLI seminars.  She currently sits on the National Arbitration and Mediation Committee of FINRA and is an industry arbitrator at FINRA.  Before joining Citigroup, she was an Assistant District Attorney both at the Kings County District Attorney's Office and at the Office of the Special Narcotics Prosecutor in Manhattan. She graduated from Suffolk University Law School in Boston, MA and received her BA from Union College in Schenectady, NY.


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.


Laura comes to her work as a full-time arbitrator and mediator from a background first as a litigation partner at Jenner & Block and then as Chief Litigation Counsel for AT&T where she also represented AT&T Labs and was responsible for all of AT&T’s arbitrations (including complex insurance matters), IP litigation, and all appeals in complex litigation and employment matters. From 2015-2017, she 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 and a Co-Editor in Chief of the NYSBA’s journal, Dispute Resolution Lawyer. She is the 2014 recipient of the NJSBA’s Boskey Award for the ADR practitioner of the year. She has served as an arbitrator, including as chair, in complex commercial, telecom, biotech, patent and trademark licensing, partnership and development and family business disputes, and in matters involving the sales of businesses and securities claims. She has served as a mediator in over 200 matters including matters involving 100s of millions of dollars and long-running disputes. She is a fellow in the College of Commercial Arbitrators. She was a founding member of the executive committee of the NJ Academy of Arbitrators and Mediators and on the Roster of the National Academy of Distinguished Neutrals. She is on the Silicon Valley Arbitration and Mediation Center List of Leading Technology Neutrals, an arbitrator for the American Arbitration Association and ICDR, for the International Institute for Prevention and Resolution (CPR) on its telecom, E-Discovery Panel, Technology Panel, New Jersey At Large ADR Panel, and Trademark Panels, and for FINRA. She is a hearing officer for National Arbitration and Mediation (NAM), a member of the Global Panel for the Center on Dispute Resolution (CEDR), and a mediator for the Global Mediation Exchange Center. She is CEDR accredited and an IMI Certified mediator. She is a master mediator for the American Arbitration Association. She has spoken and trained widely for the AAA/ICDR conferences, CCA, PLI, ABA Dispute Resolution Section annual meetings, NJSBA, NJAPM, NYSBA, NJICLE. She is listed as only one of three New Jersey mediators in Who’s Who Legal, Mediation (2016-2017). She is an adjunct professor of ADR at Seton Hall Law School and an organizer of the mediation program and training for the NJ Bankruptcy Courts. She mediates for the New Jersey and New York Commercial courts and is a member of the New Jersey Supreme Court’s Committee on Complimentary Dispute Resolution, and its Advisory Committee on Mediator Standards. She has published widely on both arbitration and mediation. She is a co-editor of the CCA’s Guide to Best Practices in Commercial Arbitration (4th Ed. 2017) and co-author of the chapter on Arbitrating Technology Cases: Considerations for Businesspeople and Advocates in Harrie Samaras (Ed.) ADR Advocacy, Strategies, and Practices for Intellectual Property and Technology Cases (ABA 2017). She has published widely on the topic of diversity in ADR. She graduated from Tufts University with a BA and received her JD magna cum laude from Boston University Law School, where she received the Melville Bigelow award for “the greatest promise as a teacher and scholar of the law”. She is a member of the New York and New Jersey Bars.


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.