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“Mediation is different than arbitration and litigation and is often a more congenial, effective process for all involved. If you would like to know more about mediation, contact me at your convenience.”

Mediation Services

Before you initiate an arbitration or court litigation, consider mediation as the most natural first step in dispute resolution. If the case can't be resolved in mediation you can always proceed to arbitration. I am a qualified neutral under Rule 114 of the Minnesota Rules of Practice and can assist you in resolving disputes between investors and securities firms, as well as disputes between securities firms and their associated persons.

What is Mediation?

Mediation is an informal, voluntary process in which the mediator facilitates negotiations between disputing parties, helping them to find their own mutually acceptable resolution. What distinguishes mediation from other forms of dispute resolution is that the mediator does not impose the solution, but rather, helps make it possible for the parties to craft and accept the solution themselves. Mediation provides public customers, member firms of various securities organizations, independent small and large investment firms and associated persons with an effective way to resolve their disputes.

Mediation is a voluntary, non-binding process using a neutral third party to guide the parties toward a mutually beneficial resolution of their dispute. Unlike an arbitrator, who can impose a decision, the mediator helps the parties to decide for themselves whether to settle and on what terms. The mediator acts as a catalyst in exploring possible bases for agreement and the consequences of not settling.

Benefits of Mediation

Mediation has several advantages, particularly when utilized early in the life of a lawsuit:

  1. Because many securities disputes settle before the arbitration hearing can be held, early mediation enables management to evaluate a case early and encourages the early resolution of the case before time, energy and money are expended and before litigation takes on a life of its own.
  2. Mediation is voluntary, nothing happens without the party's consent.
  3. Mediation does not involve a decision imposed by a judge or an arbitrator.
  4. All communications in mediation are privileged and cannot be used as evidence. The parties control what is disclosed to the mediator and to what extent matters disclosed to the mediator may be disclosed to the other party.
  5. Mediation allows for creative solutions to the party's dispute, often allowing all parties to come away from the mediation process with benefits unavailable through litigation or arbitration.


For more information, contact Keith Loveland, 952-746-1106, or by email at: kloveland@cap-mgt.com