Seasoned Financial Sector Mediator

THOMAS M MADDEN

Mediator, arbitrator, business law professor, and lawyer with over 30 years of experience in securities mediation and arbitration; public, private, and commercial finance; close corporations; and intellectual property law.

Member of New York, Massachusetts, and Rhode Island Bars.

Specialties

  • Securities mediation and arbitration

  • Broker-dealer customer disputes

  • Investment adviser customer disputes

  • Broker and adviser employment and compensation disputes

  • Financial transactions

  • Corporate governance

  • Close corporation control transitions

  • Shareholder disputes

  • Minority freeze-outs

  • Intellectual property protection and licensing

Mediation

Experienced with securities industry and customer disputes; broker-dealer customer disputes, investment adviser customer disputes; broker and adviser employment and compensation disputes; and general commercial and contract disputes.

On mediation roster of New York’s 9th District Commercial Division, Westchester County Supreme Court, and Dutchess County Supreme Court.

FINRA mediator since 2020.

Arbitration

Experienced panelist and panel chair in securities industry and customer disputes; broker-dealer customer disputes; investment adviser customer disputes; broker and adviser employment and compensation disputes. FINRA arbitrator and panel chair for over 12 years.