Originally from Securities Arbitration: Practice and Forms - Fourth Edition – Preview Page

SCOPE NOTE 

Section 12.01 describes mediation and compares the process to arbitration and litigation procedures. 

Section 12.02 describes mediation in the securities industry and compares the history of mediation in several forums. 

Section 12.03 explores why parties should consider mediation as a method of dispute resolution. This section discusses such factors as speed, cost, control, and confidentiality. 

Section 12.04 sets forth a description of each of the stages of the mediation process and how parties can be better prepared. 

Specifically, after the introduction in Section 12.04[1], Section 12.04[2] identifies the types of securities cases most suitable for mediation. Section 12.04[3] describes the initiation of mediation at various stages of the arbitration proceedings. Section 12.04[4] details the mediator selection process. Section 12.04[5] outlines the pre-mediation procedures, including scheduling, preparation, submissions and communications with the mediator. Section 12.04[6] illustrates the mediation session and describes the various approaches employed to reach a resolution. Section 12.04[7] discusses the settlement phase of mediation. 

Section 12.05 summarizes the future of mediation in the securities industry.