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Securities Arbitration 2012


Speaker(s): Barbara L. Brady, Beverly Jo Slaughter, Constantine N. Katsoris, George H. Friedman, Harry T. Walters, James Schroder, Jenice L. Malecki, Jill I. Gross, Joel E. Davidson, Kenneth L. Andrichik, Laurence S. Moy, Manly Ray, Margo A. Hassan, Philip S. Cottone, Richard E. Pullano, Richard W. Berry, Roger M. Deitz, Ryan K. Bakhtiari, Sandra D. Grannum, Seth E. Lipner, Todd Y. Saltzman
Recorded on: Aug. 2, 2012
PLI Program #: 35390

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


Joel Davidson is a 1975  graduate of Fordham Law School, where he was Editor-in-Chief of the Fordham Law Review. He is currently an Adjunct Professor at the Law School and teaches Arbitration. He was an Associate at Cahill Gordon & Reindel from 1975 to 1984 and Senior Counsel at Prudential Securities from 1984 to 1988. He served as a Deputy General Counsel and Senior Vice President at PaineWebber (now UBS Financial Services). In 1999, Joel founded the Law Offices of Joel E. Davidson. In 2003, he joined with Sandra Grannum to form Davidson & Grannum, LLP. He retired from the firm at the end of 2011. He has extensive commercial arbitration, mediation and litigation experience, including securities, class actions and accountants' malpractice actions, unfair competition cases  and litigation involving not-for-profits. He has tried numerous securities and employment related arbitrations, and defended clients in many FINRA and SEC inquiries and  disciplinary actions and argued before federal courts of appeal Joel has had significant involvement in many complex mediations, both as advocate and as a mediator. He is a former member of the NASD (n/k/a FINRA) National Arbitration and Mediation Committee and of the Board of Editors of the Securities Arbitration Commentator. He has served on the Arbitration and ADR Committees of the Association of the Bar of the City of New York. He is currently co-chair of the ABA Dispute Resolution Section's  subcommittee on Mediator Quality Assurance. He has written several articles  on securities arbitration and mediation issues and has  lectured at many SIFMA conferences, at  ABA meetings and at PLI sessions and served as an NASD arbitrator. He has guest lectured at Fordham Law School, St. John's Law School and Albany Law School  arbitration courses. He is scheduled to speak at the Practicing Law Institute's Securities Arbitration 2012 in August, 2012. Joel is admitted to practice in New York and New Jersey.


Rick Pullano is Vice President and the Chief Counsel to RAD, FINRA. In this capacity, he is responsible for providing counsel to FINRA staff and committees on legal, policy, and strategic issues relating to CRD®, IARDTM, FINRA's BrokerCheck® Program, as well as FINRA's rules governing the registration of broker-dealers and their associated persons. Mr. Pullano is RAD's principal legal and policy liaison with the SEC, other self-regulatory organizations, and other regulators that participate in the CRD and IARD programs. He also leads RAD's Legal and Policy unit, which is charged with ensuring consistency in the development of RAD policies and interpretive guidance, administering the Rule 2080 expungement process and supporting uniform registration forms development, among other responsibilities. Mr. Pullano joined FINRA (then NASD) in 1998 after 10 years with the SEC in various positions, including Senior Counsel in the Office of Chief Counsel, Division of Market Regulation (now known as Trading & Markets). He received his Bachelor of Arts degree cum laude from the State University of New York at Fredonia, and his Juris Doctorate degree from the Columbus School of Law at The Catholic University of America.


Roger Deitz is a full time mediator and arbitrator. He has successfully resolved over 1,750 mediations of complex multi-party disputes including securities restricted securities, transfer agent liability, contracts, accounting, insurance, misappropriation of trade secrets, professional liability, employment international, class actions and other business matters. In addition, he has served as chair or panel member in over seventy-five arbitrations. Mr. Deitz served as Chair of the Alternative Dispute Resolution Committee of The Association of the Bar of the City of New York. He is a fellow of the American College of Civil Trial Mediators and Distinguished Neutral of the CPR International Institute for Conflict Prevention and Resolution. Mr. Deitz is a member of the CPR National Panel of Distinguished Neutrals as well as its Banking and Financial Services, Employment Disputes, and Insurance panels. Mr. Deitz is a former Senior Trial Counsel of the U.S. Securities and Exchange Commission and Visiting Associate Professor of Law at the State University of New York - Buffalo Law School where he taught securities regulation and aviation law.  

Mr. Deitz is a Special Master of the Supreme Court of the State of New York – Appellate Division. He trained as a mediator at Harvard Law School. He is a mediator and has trained mediators for the National Association of Securities Dealers, the United States District Court for the Eastern District of New York, the United States Bankruptcy Court for the Southern District of New York, the Supreme Court of the State of New York - Commercial Division, the Department of Justice, and the New York State Society of Public Accountants. He is a mediator for the United States District Court for the Southern District of New York. 

Selected Honors, Awards, Publications, and Professional and Civic Associations

Recipient, 2012 - New York State Office of Court Administration - American Arbitration Association - Financial Industry Regulatory Authority (FINRA) Frontline Champion Mediation Award. 

Council, American Bar Association Section of Dispute Resolution. Co-chair, Subcommittee for Commercial Disputes of the State of New York Unified Court System Alternative Dispute Resolution Advisory Committee. Chair, Mediation Subcommittee of the National Association of Securities Dealers National Committee on Arbitration and Mediation Member of the Board of Editors of the Securities Arbitration Commentator. Chair, Securities Arbitration and Mediation – Hot Topics annual program The Association of the Bar of the City of New York. 

The American Bar Association, American Arbitration Association, Securities and Exchange Commission International Institute for Securities Market Development, and the Practicing Law Institute have published Mr. Deitz’s articles. He has appeared on National Public Radio, Court TV, and PLI and has been quoted in business publications in the United States, Japan, the United Kingdom, and the Middle East on the resolution of business disputes. Mr. Deitz served as a director and member of the Executive Committee of Seeds of Peace, a not-for-profit organization that introduces dispute resolution skills to the children of nations in conflict. 

Education

Fieldston School, 1961; Brown University, 1965; Cornell Law School, 1968; Harvard Law School Program of Instruction for Lawyers, 1989 – 1994; CEDR London (1998, 2000); CPR International Institute of Dispute Prevention and Resolution Brussels (2006) Paris (2007) Vienna (2008); American Bar Association International Dispute Resolution Summit, The Hague (2010); Faculty: American Bar Association Advanced Mediation Institute (2008 - 2014).



Constantine Katsoris

Wilkinson Professor of Law, Fordham University School of Law; Public Member of the Securities Industry Conference on Arbitration (SICA) since 1977 and Chairman of SICA since 2004. Public Arbitrator at FINRA (NASD) since 1968 and NYSE since 1971; Arbitrator/Chairperson Trainer, and Mediator at FINRA and NYSE.
 


George H. Friedman is Executive Vice President, Dispute Resolution at FINRA. He held the same title at NASD, which consolidated with NYSE Member Regulation to form FINRA in 2007. In this capacity, he is in overall charge of FINRA's dispute resolution program, carried out by the company's four regional offices.

In his dispute resolution career that began more than 30 years ago, he previously held a variety of positions of responsibility at the American Arbitration Association, most recently as Senior Vice President from 1994 to 1998. He joined NASD in 1998 as Senior Vice President of NASD's Dispute Resolution Division, and was named Executive Vice President in 2002.

Mr. Friedman received a B.A. in Political Science from Queens College, and a Juris Doctor from Rutgers Law School - Newark, where he was an editor of the Law Review. He is admitted to the New York and New Jersey Bars, and the Supreme Court of the United States.  He is also a Certified Regulatory and Compliance Professional.  Mr. Friedman is a member of several bar associations, and is past chair of the Committee on Alternative Dispute Resolution of the New York County Lawyers Association. He serves as a mentor in FINRA's staff mentoring program, and Fordham Law School's adjunct faculty mentoring program. He currently serves as secretary of the Securities Industry Conference on Arbitration.

Mr. Friedman has lectured extensively on the subject of alternative dispute resolution, and has the distinction of being one of the architects of the Due Process Protocols for both employment arbitration and health care dispute resolution. He has published often, with articles appearing in the New York Law Journal, the Rutgers Law Review, and the National Law Journal, among others. He is an Adjunct Professor of Law at Fordham Law School, where he has taught a course on alternative dispute resolution since 1996.


Todd Saltzman is the Deputy Director of Case Administration for FINRA Dispute Resolution.  Prior to assuming his present position, Todd worked as a Staff Attorney in the Midwest Regional Dispute Resolution office from 1995-1999. From 1999-2002, Todd worked as a business and technology consultant in Chicago. Todd re-joined FINRA in 2003. 

Todd is a graduate of the University of Wisconsin - Madison and the University of Kansas School of Law. He is a member of the Illinois Bar.


Barbara L. Brady is the Vice President and Director of Neutral Management for FINRA Dispute Resolution -- the largest dispute resolution forum in the securities industry. In this capacity, she is responsible for the overall recruitment and training of FINRA's arbitrator roster, as well as the accurate classification of arbitrators and the up-to-date maintenance of the arbitrator records. Prior to joining FINRA in January 2000, Ms. Brady was the Associate Vice President of Case Administration with the American Arbitration Association. (AAA). Having joined AAA in 1978, she has spent a career of over three decades devoted to the field of alternative dispute resolution (ADR). She holds a Bachelor's of Science in Business Management from the University of Phoenix.


 


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. 

 


JENICE L. MALECKI, ESQ. is a well-known New York securities attorney, is a trained mediator and has been a FINRA arbitrator and Chairperson.  She represents individual and institutional investors in arbitration and litigation, as well as licensed industry participants in regulatory hearings and employment disputes and whistleblower filings.  She has represented private and public companies, as well as a range of individuals from blue-collar workers to athletes, musicians, and billionaire founders of well-known international companies. Malecki Law has represented clients in the United States and Puerto Rico, as well as those from many Western European countries, India, China, Hong Kong, Singapore, Israel and in several 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, as well as has been a member of the American and New York State Bar Associations. She has spoken at the Practicing Law Institute (PLI), the New York City Bar Association and the New York County Lawyers Association on several panels, and done securities arbitration clinic class lecturing and mock arbitration work at FINRA, Yale, Columbia, Fordham Law School, St. John’s Law School, Brooklyn Law School, Albany Law School and New York Law School, in addition to regularly speaking at PIABA’s year-end conference.

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 was named one of “New York’s Women Leaders in the Law 2014,” She appears regularly on TV, in the news and radio. She is Martindale-Hubbell’s highest legal ability rating of “AV Preeminent.” In 2014, 2015 and 2019, she visited Senators and House of Representatives members’ offices to garner support for investor related laws.


LAURENCE S. MOY is a partner with Outten & Golden LLP ("O&G") and has been practicing law almost exclusively in the area of representing individuals in employment matters since 1985. He co-chairs O&G's Securities and Financial Services Industry practice group, and enjoys representing clients and groups of clients in these highly specialized fields.

Mr. Moy has extensive experience in arbitration before FINRA, the NASD, the NYSE, and the AAA, as well as trials, appeals, and other litigation experience before federal and state courts concerning employment and general commercial litigation disputes. For each year since 2006, he has been selected by his peers as one of the New York Area's Best Lawyers, as featured in New York Magazine, and as one of New York's Super Lawyers - Manhattan Edition. The Asian American Business Development Center has also named Mr. Moy as one of the 2007 Outstanding 50 Asian Americans in Business.  In 2010, Mr. Moy was elected as a Fellow to the College of Labor & Employment Lawyers.

Mr. Moy has been lead trial attorney on a number of successful litigation cases brought on behalf of individual clients.  In perhaps the largest arbitration result obtained in an employment case, Mr. Moy led a trial team, together with partners Wayne Outten and Tammy Marzigliano, in a complex, international arbitration case, which concluded with a two-week trial/hearing. On behalf of their clients, the team won an arbitration award against a major financial institution exceeding $70 million. 

In another matter, after more than a year of proceedings, Mr. Moy and Mr. Outten led a trial team in a two-week trial in a vigorously contested arbitration case against financial services giant Deutsche Bank, winning $18.9 million in damages, interest, and expenses. This American Arbitration Association award represents one of the largest arbitration awards in an employment case.

In addition to litigation, Mr. Moy actively handles many transactional and negotiation matters.  Mr. Moy has successfully mediated and otherwise negotiated many matters both within and outside of the employment context. These negotiations have included the review and preparation of employment contracts and compensation guarantees, as well as severance agreements and other exit arrangements for executives and other professionals.

Before joining O&G, Mr. Moy was a partner with the firm of Liddle & Robinson, L.L.P., a highly regarded trial and litigation firm. He has been selected for a number of projects, panels, and committees involved in educating arbitrators, mediators, administrators, major employers, and other lawyers concerning the arbitration and litigation of employment disputes.

In 2007 and 2008, Mr. Moy served on the FINRA Employment Arbitration Task Force. The Task Force -- comprised of the President of FINRA Dispute Resolution, other FINRA officers and staff, arbitrators, and counsel representatives for employer members and employee members -- considered ways in which the Code of Arbitration Procedure for Industry Disputes should be tailored to best deal with employee and brokerage firm disputes.

In 1999, Mr. Moy was appointed to the Judiciary Committee of The Association of the Bar of the City of New York, and served on that committee through 2002. The Judiciary Committee evaluates the qualifications of judicial candidates and candidates for other offices (such as the Office of the District Attorney for the five counties of NYC) connected with the administration of justice. He is also the author of numerous publications and a respected contributor to legal textbooks. In addition, Mr. Moy is the co-author (with Arthur "Babe" Cranfield, a former World Champion pool player) of two well-recognized books on the subject of pool and billiards, The Straight Pool Bible and Essential Pool, both published by The Lyons Press.

Mr. Moy is a graduate of Cornell University (B.S. 1982) and Cornell Law School (J.D. 1985). He is admitted to the bars of the State of New York, the United States District Court for the Southern, Eastern and Northern Districts of New York, and the United States Court of Appeals for the Second Circuit.


Manly Ray is the Southeast Regional Director for FINRA’s Office of Dispute Resolution.  He has over 25 years of experience in the securities, legal and business professions, including the past 19 years with FINRA.

Manly began his FINRA career with the Office of Hearing Officers in Washington, DC in 1998 where he worked until August 2005.  At the Office of Hearing Officers, Manly held the position of Chief Case Administrator and was responsible for managing the Deputy Chief Hearing Officer’s caseload in addition to supervising all Case Administrators.  In August 2005, Manly moved to Boca Raton for a position in FINRA’s Member Regulation Department as a Compliance Specialist.  He was later promoted to Examination Manager and supervised a team of cycle examiners.  In May 2010, Manly assumed his current role as the Southeast Regional Director, where he is responsible for the day-to-day operations of the Southeast Regional dispute resolution office.

Prior to joining FINRA, Manly worked as a paralegal for the law firm of Piper & Marbury, LLP and in the arbitration group for MCI Communications.

Manly has a Bachelor of Science degree from Virginia Tech.  He is a Certified Regulatory Compliance Professional, has attended FINRA’s Examiner University program, and has completed coursework in mediation skills and process.  Manly earned FINRA’s Excellence in Service Award in 2002, FINRA’s President’s Award in 2000, and the 1994 Pro Bono Award from Piper & Marbury LLP for outstanding casework on a class action sexual harassment lawsuit.


Professor Jill I. Gross is a nationally known expert in the field of securities dispute resolution, and teaches courses in the areas of dispute resolution, ethics, securities law and lawyering skills. She was the James D. Hopkins Professor of Law, a two-year rotating endowed Chair, from 2013-2015, Director of the Investor Rights Clinic from 1999-2015, and Director of Legal Skills Programs from 2010-2015. She also has taught at Cornell Law School, UNLV’s Boyd School of Law and Benjamin N. Cardozo School of Law.

She is an author of the preeminent hornbook, Broker-Dealer Law and Regulation (Wolters Kluwer 4th ed. annually updated) (with J. Fanto and N. Poser), has published dozens of book chapters and articles on the negotiation, mediation and arbitration of securities and other commercial disputes, and is a Senior Contributing Editor to the Securities Online Litigation Alert. She has chaired the AALS Section of Dispute Resolution, the Securities ADR Committee of the ABA Section of Dispute Resolution and the Practising Law Institute’s annual Securities Arbitration program. She is an arbitrator for the American Arbitration Association, FINRA’s Office of Dispute Resolution, and the National Futures Association, and a member of the Securities Experts Roundtable. She is a former public member of the FINRA National Arbitration and Mediation Committee, and a current member of the President’s Council of Cornell Women. She has been quoted dozens of times in the national media, and retained as an expert in securities arbitrations, litigations and enforcement proceedings. 

Before entering legal education, Professor Gross was an attorney in the New York City firms of Kaye Scholer LLP, Morvillo Abramowitz Grand Iason & Silberberg, and Parcher Hayes & Snyder, representing clients in white collar criminal and securities enforcement proceedings, securities arbitrations, and other commercial litigation. She received an A.B. magna cum laude, Phi Beta Kappa, from Cornell University and a J.D. cum laude from Harvard Law School.


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.


Seth E. Lipner is a Professor of Law at the Zicklin School of Business of Bernard M. Baruch College (CUNY) in New York City, and a member of the firm Deutsch & Lipner in Garden City, New York.

Professor Lipner is the author of numerous scholarly articles and law books, including SECURITIES ARBITRATION DESK REFERENCE, co-authored with Professors Joe C. Long and William Jacobson, and published each year by West Publishing. As a member of Deutsch & Lipner, Mr. Lipner focuses his practice on representing investors and other individuals with grievances against providers of financial services.

Professor Lipner was a founder of PIABA when it was created in 1990. He served as President in 1994-1995, and again in 2000-200 l. He served as Secretary to the organization and on its Board of Directors since the organization's inception until 2006, and now holds the title "Director Emeritus." Professor Lipner has appeared on CNN, NPR, BBC and the Wall Street Journal Report, and is often quoted in publications such as Forbes, The New York Times, Reuters, Business Week, Newsweek, the Wall Street Journal, Newsday, the New York Law Journal and the National Law Journal.
Professor Lipner speaks often to bar groups, and in continuing legal education programs, including the New York State Bar Association, Practicing Law Institute and PIABA. He served on the National Arbitration and Mediation Committee of the NASO from 1998 to 2002, and was at one time a member of the Board of Editors at Securities Arbitration Commentator. He is now on the Editorial Board of the PIABA Bar Journal, and is a regular contributor to the Journal.

Along with Lisa Catalano, he is the author of"The Tort of Giving Negligent Investment Advice," 39 University of Memphis Law Review 663 (2009). His most recent law review article, "The Expungement of Customer Complaint CRD Information Following the Settlement of a FINRA Arbitration," is at 19 Fordham Journal of Corporate & Financial Law 57 (2013). Professor Lipner's
numerous columns and other writings can be found at DeutschLipner.com. and Forbes.com.


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.


Mr. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. He served on the Board of Directors of the Public Investors Arbitration Bar Association (PIABA) from 2008 to 2013 and served as President for the 2011 to 2012 term. PIABA is a nationwide organization of securities lawyers that represent investors in disputes with the financial service industry.

In June 2013, Mr. Bakhtiari was named Chairman of the National Arbitration and Mediation Committee (“NAMC”) of the Financial Industry Regulatory Authority (FINRA). The NAMC is an advisory group that makes recommendations on rules, regulations and procedures governing FINRA arbitration, mediation and dispute resolution. In June 2011, Mr. Bakhtiari was nominated to serve as a public member of the Nasdaq OMX BX Arbitration Committee, which is the advisory group that provides recommendations on rules, regulations and procedures governing arbitrations, mediations and dispute resolution for the Nasdaq and Boston Stock Exchanges. In 2009, Mr. Bakhtiari was nominated to serve as a public member of the National Arbitration and Mediation Committee of FINRA.

Mr. Bakhtiari served on the faculty of the Practicing Law Institute (2012, 2014, 2015 and 2016) and New York City Bar Association's presentation of Securities Arbitration and Mediation Hot Topics (2012). Mr. Bakhtiari is a past member of the board of editors, managing editor of the PIABA Bar Journal and edited the “Recent Arbitration Awards” column covering significant NASD and NYSE arbitration awards. Mr. Bakhtiari has spoken at the Public Investors Arbitration Bar Association annual meeting, California mid-year meeting, authored and co-authored several articles. He was a teaching assistant and extern to the Honorable James N. Barr, United States Bankruptcy Judge for the Central District of California and presently serves as a FINRA securities arbitrator.

In addressing investors right's issues, Mr. Bakhtiari has been quoted by the press in publications that include the New York Times, Wall Street Journal, Bloomberg, Los Angeles Times, Reuters, Dow Jones Business News, NY Post, Los Angeles Business Journal, The American Banker and Cleveland Plains Dealer.

Mr. Bakhtiari was recognized from 2014 to 2017 as a Southern California Super Lawyer. Between 2005 and 2013 he was recognized as a Southern California Super Lawyer Rising Star. He has litigated the following cases which resulted in published opinions:

Additional information at www.securitiesarbitration.com


Mr. Cottone is a member of the mediation and commercial and real estate arbitration panels of the American Arbitration Association (AAA), and the arbitration and mediation panels of the Financial Industry Regulatory Authority (FINRA) and The Counselors of Real Estate (CRE). He also has been certified by the International Mediation Institute at The Hague.

He has been an arbitrator since 1977 when he was first qualified by the National Association of Securities Dealers (NASD, now the Financial Industry Regulatory Authority).  He has been mediating for over twenty years both privately and for ADR organizations. In the mid-nineties he chaired the Sub-committee of the NASD National Arbitration Committee that developed the mediation rules and procedures for the securities industry. He subsequently chaired the renamed National Arbitration and Mediation Committee from 1993-1997. He served on the national FINRA DR Task Force in 2014-15 that made over fifty recommendations for change in policies and procedures.

Mr. Cottone is an author, lecturer and trainer in dispute resolution. He was an officer and member of the Executive Committee of the governing Council of the ABA Dispute Resolution Section from 2006 to 2015, is a member of the faculties of both the ABA Mediation and Arbitration Institutes, and was Co-Chair of the Arbitration Institute in 2016 and 2017.  He is a member of the American College of Civil Trial Mediators, the Pennsylvania Council of Mediators, and the New Jersey Association of Professional Mediators; and a Director of the Philadelphia Chapter of ACR, and the Good Sheperd Mediation Program, the only community mediation program in Philadelphia. He is a 1961 graduate of Columbia College, Columbia University, and 1966 graduate of the New York University School of Law.


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.


Margo Hassan is an Associate Chief Counsel, FINRA Office of Dispute Resolution. Ms. Hassan began her career in 1987 as an Arbitration Counsel at the New York Stock Exchange (NYSE). She spent 16 years in various positions in NYSE's Market Surveillance Division, serving for a number of years as a Regulatory Development Counsel responsible for drafting rules and policies, and as a Surveillance Director overseeing reviews of Trading Floor members and other market professionals.  In 2006, Ms. Hassan became a Chief Arbitration Counsel for NYSE Dispute Resolution responsible for drafting rules and policies. In 2007, Ms. Hassan joined FINRA's Office of the Chief Counsel, where, among other duties, she drafts rule proposals for review by the FINRA Board and the Securities and Exchange Commission. She is a graduate of Binghamton University and St. John's University School of Law. Ms. Hassan is a member of the New York Bar.


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.