Practice Areas

Securities and Financial Services Mediation

Securities and Financial Services Mediation

Few attorneys and even fewer mediators have the depth of experience Steve Gard possesses in disputes involving the securities and financial services industry. Through service with state securities regulators, the SEC, and twenty years as a founder and partner in a securities litigation and arbitration boutique law firm, Steve has seen and been involved in the resolution of thousands of disputes between industry member firms and their customers, between firms and their representatives, and between firms and government and self-regulatory organizations. He has also served as a mediator and arbitrator for FINRA and the NYSE. Steve has seen all sides of these disputes and can quickly and effectively spot the strengths and weaknesses in each case.

Disputes between brokerage or investment advisory firms and their customers

Disputes between brokerage or investment advisory firms and their employees

Commercial and Business Disputes

Businesses and individuals inevitably become involved in disputes. Whether these disputes involve dissatisfied customers, disgruntled employees, failures to honor contracts, disputes over intellectual property or non-compete agreements, disputes between business owners over management of the business, or disputes with insurers, these disputes cost businesses time and money when they result in litigation. Early resolution of these disputes through mediation can help businesses get back to business, and help individuals get on with their lives. Steve’s litigation and mediation experience can help businesses reach acceptable resolutions of these disputes that will save businesses time and money. Whether a dispute is relatively small or so large that it amounts to “bet the company” litigation, mediation should be considered early in the process.

Commercial and Business Disputes​
Disputes With Regulatory

Disputes With Regulatory and Enforcement Agencies: If litigation between businesses and employees, customers, or other businesses is distracting and expensive, litigation involving government enforcement and regulatory agencies is even more so. Government agencies have unlimited resources and no time pressures. Investigations and litigation can drag out for months or years, draining a business’s resources and damaging its reputation. Steve has experience representing both state and federal enforcement agencies, as well as representing businesses who were subjected to government investigations and litigation. These civil or administrative actions, like private litigation, are often settled without a trial. Mediation is as effective in settling these disputes as it is for other commercial disputes and can help businesses survive and grow stronger.

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