The Principal of Legal Solutions, LLC, Brett Little, is a FINRA mediation panel member.
As a member of the FINRA mediation panel, Mr. Little can mediate all disputes arising under the FINRA Rules between Broker-Dealers and clients and also between two or more Broker-Dealers.
Mr. Little can mediate employment, contract execution, trading, account management and other disputes.
Mr. Little has a background of being "on both sides of the fence." He was a trader for a number of money center banks, a market maker in a number of instruments and a supervisor of a proprietary trading desk. As a lawyer, Mr. Little has been a Federal Trial Attorney for the U.S. Commodity Futures Trading Commission, and the "go-to" person in a number of law firms for NASD Rules-related matters. There is no need to fear that the "mediator won't understand the issue," instead, mediation parties should feel comforted that Mr. Little does indeed see each of their points of view and can help the parties to understand each other.
Rather than submit to a less-than-certain result through arbitration, parties may wish to have direct input as to the result of an agreement, and chose mediation.
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Tired of explaining technical points of FINRA rules to an arbitrator who has never entered a trading room? Do you feel that arbitration results are often completely independent of the strength of your case? Surprised?
Mediate your disputes.
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