Mediation of Investment Claims

Two of the most common ways to resolve a claim of financial advisor misconduct are through mediation and arbitration. While similar, the two forms of dispute resolution differ slightly. Mediation is a voluntary process that occurs when the parties agree to try to resolve the case using a trained mediator. 

The mediator is a neutral, third party who helps to facilitate a settlement. However, unlike arbitration, the mediator does not reach a binding agreement with the parties. The parties have control over the case and involvement in the mediation process is completely voluntary.

The Financial Industry Regulatory Authority (FINRA) offers both mediation and arbitration to resolve disputes among investors, brokers, and brokerage firms. It is important to discuss your case with an attorney to determine your legal options including mediation. 

Contact Our Office to Discuss Your Rights

If you sustained losses due to stockbroker misconduct or securities fraud, you might be eligible to file an investor claim. Investor claims may be resolved through arbitration, mediation, or litigation. 

To determine the best course of action in your case, contact Meyer Wilson at (614) 532-4576 for a free case evaluation. All consultations are free and without obligation to retain our services. We represent investors nationwide. 

Common Questions

• What can you expect during a mediation of your investor claim?
• What is mediation and how does it differ from arbitration?
• Who chooses the mediator when a claim is handled in securities mediation?
• What happens if I can’t reach a settlement in securities mediation?
• If my broker dispute is handled in mediation, will the decision be considered binding?