Arbitration and Mediation


Alternative Dispute Resolution

Since many agreements are governed by mandatory arbitration
provisions, many matters are heard before private mediators and
arbitration forums. The firm has extensive experience mediating
and arbitrating disputes. However, if a sensible resolution cannot
be achieved by negotiation or mediation, the firm will provide
aggressive counsel in the arbitral forum or in court.

Securities Arbitration

While the firm has primarily represented aggrieved individual or
corporate investors in disputes arbitrated before the National
Association of Securities Dealers ("NASD") as well as other forums
(JAMS), the firm has also represented investment professionals
such as registered representatives and individual investment
advisers. The firm has also represented brokerage and investment
adviser firms.

The firm's principal, Steven M. Sherman, has also served as a
neutral arbitrator on NASD panels.

Investor Claims usually include some of the following:

  •        Unsuitable recommendations or inappropriate
           investment advice;
  •        Churning or over-trading;
  •        Misrepresentation and/or omissions;
  •        Failure to diversify and over-concentration;
  •        Failure to hedge; and/or
  •        Failure to give appropriate advice with
           respect to  employee stock options;
  •        Account mismanagement (failure to act  
           in accordance with the standard of care); or
  •        Financial abuse of elders.