I have sat in every seat at a FINRA arbitration. I now limit my securities arbitration role to serving as a FINRA neutral (arbitrator/mediator). I have served on over 100 panels, mostly as Chairperson. My other FINRA activities include training arbitrators for FINRA's Basic Arbitrator Training Program. I served on FINRA’s Arbitrator Training Materials Task Force that prepared the arbitrator training materials now used in FINRA’s basic arbitrator training program. I am presently serving on FINRA's National Arbitration and Mediation Committee (NAMC) where I serve on the Mediation Subcommittee and as Chair of the Neutral Roster Subcommittee. I speak regularly at FINRA related customer and industry events. I have worked in the securities industry and obtained Series 7, 24, and 63 licenses (inactive).
Employment Disputes
I have represented employers and employees, including negotiating employment agreements and termination/severance packages for senior management of private and public companies. I am keenly aware of the need to navigate the emotional components accompanying employment disputes to achieve a satisfactory resolution. I have mediated and arbitrated wrongful termination, breach of contract and discrimination/harassment cases (Title VII/FEHA/ADA) involving Fortune 500 and smaller companies, and public entities including school districts and law enforcement agencies.
Business Disputes
Resolution of litigated legal issues cannot be divorced from business practicalities. I work with parties to quantify legal exposure in economic terms and explore business based solutions to the legal dispute. I have over 25 years experience as a business lawyer practicing business, corporate & securities, and employment law, including formation, operation, financing, and merger & acquisition of business entities. I teach business law and have presented numerous business law related topics.
