Securities mediation & arbitration

Resolving securities and commercial disputes with 30 years of practice behind every session.

Mediator, arbitrator, business law professor, and attorney focused on broker-dealer, investment adviser, and commercial finance disputes.

Schedule a consultation About Thomas

Practicing since: 1997
FINRA arbitrator: Since 2012
FINRA & court mediator: Since 2015
Admitted: New York, Massachusetts, Rhode Island

Matter — Mediation & Arbitration

Two paths to resolution

Mediation

Securities and customer disputes, broker-dealer and investment adviser matters, and general commercial and contract disputes. On the mediation roster for New York's 9th District Commercial Division, Westchester County Supreme Court, and Dutchess County Supreme Court.

Arbitration

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

Areas of practice

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

Ready to discuss your case?

Reach out to check availability and determine whether mediation or arbitration fits your dispute.

Get in touch