Securities Disputes Committee (Dispute Resolution)

The Securities Disputes Committee serves as a forum for attorneys serving as advocates and neutrals in the resolution of disputes between investors and securities professionals, as well as intra-industry disputes. The mission of the Committee is to educate and support practitioners and to promote constructive dialogue on substantive regulations and procedural rules governing securities disputes. Disputes in this specialized area are most often resolved through mandatory arbitration or voluntary mediation, absent a party-negotiated settlement. Typically, the arbitration or mediation forum is a self-regulatory organization, such as FINRA or the NFA, but may also be AAA or JAMS.

We welcome participation by our members and encourage involvement and suggestions to help serve our mission, including support for the Dispute Resolution Section’s goal of creating an environment that encourages newer and diverse ADR practitioners and neutrals to develop their careers and to share their perspectives.

Committee Co-Chairs: Elissa Germaine ([email protected]) and Howard A. Fischer ([email protected])